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ML

Michael J. Lawrance

UOB KAY HIAN (U.S.)
MISSISSAUGA, ONTARIO,
Some features on this profile are disabled
CRD#: 4468767
ML

Professional summary

Michael John Lawrance is a registered financial professional currently at UOB KAY HIAN (U.S.) INC. .

Michael is registered as a RR (Registered Representative) and started their career in finance in 2001. Michael has worked at 4 firms and has passed the Series 63, SIE and Series 38 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael John Lawrance's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 19, 2012 - Present

UOB KAY HIAN (U.S.) INC.

BD
CRD#: 127314
MISSISSAUGA, ONTARIO,
Past

November 17, 2008 - July 8, 2010

CANTOR FITZGERALD & CO.

BD
CRD#: 134
NEW YORK, NY
Past

October 16, 2003 - February 13, 2008

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

BD
CRD#: 30107
BOSTON, MA
Past

November 23, 2001 - April 19, 2002

MACQUARIE CAPITAL MARKETS NORTH AMERICA LTD.

BD
CRD#: 38108
TORONTO, ONTARIO,

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New Jersey
(9/30/2014)
RR
New York
(1/19/2012)

Exams

State Security Law Exam
RR
Series 63
Date: 3/10/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 38
Date: 11/21/2001
Canada Module of the General Securities Registered Representative (Without Options Questions)
SRO Registrations
RR
FINRA

Current Firm

UK
UOB KAY HIAN (U.S.) INC.
UOB KAY HIAN (U.S.) INC. | UOB KAY HIAN (U.S.) INC.

CRD#: 127314 / SEC#: , 8-65981

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
3207 Dovetail Mews, Mississauga, Ontario, L5L 5K4
Mailing Address
3207 Dovetail Mews, Mississauga, Ontario, L5L 5K4
Phone number
(416) 454-1033
Established
New York since 02/10/2003
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
UOB-KAY HIAN HOLDINGS LIMITEDSHAREHOLDER
KWAI, ATHENA MANHACO - CHIEF COMPLIANCE OFFICER1556536
KWAI, ATHENA MANHAPRESIDENT, DIRECTOR, SECRETARY, TREASURER1556536
LIM, SENG BEEBOARD MEMBER5275817
POSKITT, MARTIN SPENCERCO- CHIEF COMPLIANCE OFFICER4925926
TAO, BING QINFINOP/PFO/POO6253793

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.

Company Information

UOB KAY HIAN (U.S.) INC.

CRD#: 127314Mississauga, Ontario

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