Szu-wei Lo
Professional Summary
Szu-wei Lo, who also goes by Lindsay Lo, Szu-wei Lindsay Lo, is a registered financial advisor currently at CANACCORD GENUITY LLC located in Boston, Massachusetts. Szu-wei is registered as a RR (Registered Representative) and started their career in finance in 2009. Szu-wei has worked at 3 firms and has passed the SIE, Series 7, Series 6, Series 24 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Szu-wei Lo, Lindsay Lo, Szu-Wei Lindsay Lo
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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.
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Years of Experience
17 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
ADAMS HARKNESS, INC. | CANACCORD GENUITY LLC. | CANACCORD GENUITY LLC | CANACCORD GENUITY INC. | CANACCORD ADAMS INC. | ADAMS, HARKNESS & HILL, INC.
Contact Information
Main Address
One Pennsylvania Plaza Suite 2900, New York, NY 10119Mailing Address
One Pennsylvania Plaza Suite 2900, New York, NY 10119Phone Number
(212) 389-8000Established
Delaware since 02/26/2004Firm Type
Limited Liability CompanyFiscal Year End
MarchFirm Size
MediumFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CANACCORD ADAMS (DELAWARE) INC. | PARENT | — |
| DAVIAU, DANIEL JOSEPH | NON- EXECUTIVE DIRECTOR | 6096472 |
| DAVIAU, DANIEL JOSEPH | CHIEF EXECUTIVE OFFICER, PRESIDENT | 6096472 |
| MACFAYDEN, DONALD DUNCAN | EXECUTIVE DIRECTOR, CFO & FINANCIAL & OPERATIONS PRINCIPAL | 5390198 |
| PARDI SQUITIERI, JENNIFER ELLEN | EXECUTIVE DIRECTOR | 4922719 |
| PROUD, EMILY PRESSMAN | CHIEF OPERATING OFFICER | 5815542 |
| ROMAINE, JUDITH | CHIEF COMPLIANCE OFFICER | 6115619 |
| TEIPNER, LARISSA KYLE | US GENERAL COUNSEL | — |
Disclosures
Regulatory Event
48Bond
1Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Mar 2009About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Apr 2009About the Series 26 examSRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Szu-wei Lo's CRS (Customer Relationship Summary).
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