Qwendalynn T. Lai
Professional summary
Qwendalynn Thuc Lai, who also goes by Quyen Thuc Lai, is a registered financial advisor currently at SVB WEALTH located in Menlo Park, California and FIRST CITIZENS INVESTOR SERVICES, INC. located in Menlo Park, California.
Qwendalynn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Qwendalynn has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Qwendalynn Thuc Lai's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 28, 2022 - Present
SVB WEALTH
Office #1: 2770 Sand Hill Rd., Menlo Park, CA 94025December 14, 2023 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
Office #1: 2770 Sand Hill Rd, Menlo Park, CA 94025July 2, 2020 - December 31, 2023
SVB INVESTMENT SERVICES INC.
April 28, 2020 - July 29, 2022
SVB INVESTMENT SERVICES INC.
January 3, 2011 - April 30, 2020
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - April 30, 2020
WELLS FARGO CLEARING SERVICES, LLC
April 13, 2009 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
September 15, 2008 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
Primary Firm SEC Registration
SVB WEALTH
CRD#: 172832 / SEC#: 801-80480
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/8/2022)
(6/28/2022)
(12/14/2023)
(6/28/2022)
(6/29/2022)
(6/29/2022)
(6/30/2022)
(6/30/2022)
(7/12/2022)
(6/29/2022)
(8/8/2022)
(6/29/2022)
(6/29/2022)
Exams
FINRA
Current Firm
SVB WEALTH
CRD#: 172832 / SEC#: 801-80480
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,739 |
| AUM (Assets Under Management) | $ 4,983,411,995 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/21/2025 | ||
| 09/20/2024 | ||
| 10/31/2022 |
Red Flags
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Company Information
SVB WEALTH
CRD#: 172832Menlo Park, CA 94025TRUST BUT VERIFY
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