Ethan Z. Lai
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.
Ethan Zhi-xuan Lai, who also goes by Ethan Lai, was a registered financial professional .
Ethan is a previously registered financial professional and started their career in finance in 2013. Ethan had worked at 3 firms and has passed the Series 63, SIE, Series 79 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
May 25, 2016 - June 30, 2020
LEADER CAPITAL CORP.
September 17, 2014 - February 23, 2016
GOLDMAN SACHS & CO. LLC
March 26, 2013 - September 4, 2014
TRUIST SECURITIES, INC.
Primary Firm SEC Registration
LEADER CAPITAL CORP.
CRD#: 46206 / SEC#: 801-56684, 8-51343
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
LEADER CAPITAL CORP.
CRD#: 46206 / SEC#: 801-56684, 8-51343
Contact information
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2 |
| AUM (Assets Under Management) | $ 1,135,338,351 |
Disclosures
| Regulatory Event | 1 |
| Civil Event | 1 |
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.
