Lawrence L. Chan
Professional summary
Lawrence L Chan, who also goes by Larry Chan, Lawrence Lap-ming Chan, Lawrence Chan, Lawrence L Chan, is a registered financial advisor currently at RUNNING OAK CAPITAL LLC located in Windermere, Florida.
Lawrence is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Lawrence has worked at 3 firms and has passed the Series 66, Series 63, Series 7TO, Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Lawrence L Chan's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 7, 2022 - Present
RUNNING OAK CAPITAL LLC
July 21, 2005 - August 4, 2020
J.P. MORGAN SECURITIES LLC
October 28, 2004 - June 29, 2005
J.P. MORGAN SECURITIES INC.
Primary Firm SEC Registration
RUNNING OAK CAPITAL LLC
CRD#: 286656 / SEC#: 801-110116
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(6/7/2022)
Exams
Series 7TO
Date: 3/30/2024
General Securities Representative ExaminationSeries 99TO
Date: 3/30/2024
Operations Professional ExaminationCurrent Firm
RUNNING OAK CAPITAL LLC
CRD#: 286656 / SEC#: 801-110116
Contact information
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,039 |
| AUM (Assets Under Management) | $ 822,755,662 |
Red Flags
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