Tung Mai Pearl 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.
Tung Mai Pearl Lau, who also goes by Pearl Lau, was a registered financial professional .
Tung Mai Pearl is a previously registered financial professional and started their career in finance in 2003. Tung Mai Pearl had worked at 2 firms and has passed the Series 63, SIE 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
March 8, 2018 - June 21, 2023
THE TRANSPORTATION GROUP (SECURITIES) LIMITED
December 12, 2003 - June 22, 2016
THE TRANSPORTATION GROUP (SECURITIES) LIMITED
State Registrations and Notice Filings
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Exams
Current Firm
THE TRANSPORTATION GROUP (SECURITIES) LIMITED
CRD#: 286288 / SEC#: , 8-69878
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
Red Flags
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