Chun Y. Lau
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Chun Yuen Lau, who also goes by Jonathan C Lau, was a registered financial professional .
Chun is a previously registered financial professional and started their career in finance in 2000. Chun had worked at 3 firms and has passed the Series 63, Series 44, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 18, 2008 - October 3, 2013
CUTLER GROUP, LLC
February 10, 2005 - January 18, 2007
TORO TRADING LLC
October 20, 2000 - May 30, 2001
RUMSON CAPITAL, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 44
Date: 4/17/2008
PCX Market Maker ExamSeries 55
Date: 2/7/2001
Limited Representative-Equity Trader ExamCurrent Firm
CUTLER GROUP, LLC
CRD#: 31730 / SEC#: , 8-42415
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 27 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
