Elton P. Lai
Professional summary
Elton Ping Hei Lai, who also goes by Elton P Lai, Elton Lai, Elton Ping Hei Lai, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Lone Tree, Colorado and CHARLES SCHWAB & CO., INC. located in Lone Tree, Colorado.
Elton is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Elton has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Elton Ping Hei Lai's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 18, 2023 - Present
SCHWAB WEALTH ADVISORY, INC.
Office #1: 9800 Schwab Way, Lone Tree, CO 80124April 17, 2023 - Present
CHARLES SCHWAB & CO., INC.
Office #1: 9800 Schwab Way, Lone Tree, CO 80124May 1, 2020 - March 23, 2023
WELLS FARGO CLEARING SERVICES, LLC
May 1, 2020 - March 23, 2023
WELLS FARGO CLEARING SERVICES, LLC
May 30, 2018 - April 17, 2020
MORGAN STANLEY
May 29, 2018 - April 17, 2020
MORGAN STANLEY
June 11, 2015 - May 31, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 20, 2015 - May 31, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 18, 2013 - June 4, 2014
INTEGRAL FINANCIAL LLC
December 21, 2012 - January 24, 2013
FIRST COMMAND BROKERAGE SERVICES, INC.
July 23, 2012 - September 28, 2012
SCOTTRADE, INC.
Primary Firm SEC Registration
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
State Registrations and Notice Filings
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Exams
FINRA
Nasdaq Stock Market
Current Firm
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
Contact information
SEC notice filing (53 States and Territories)
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.
