Peter C. Lau
Professional summary
Peter Cheuk-yan Lau is a registered financial professional currently at TOWER PRINCIPAL MARKETS LLC located in New York, New York.
Peter is registered as a RR (Registered Representative) and started their career in finance in 2016. Peter has worked at 2 firms and has passed the Series 7TO, Series 57TO, SIE, Series 57, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Peter Cheuk-yan Lau's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 13, 2024 - Present
TOWER PRINCIPAL MARKETS LLC
Office #1: 120 Broadway 38th Floor, New York, NY 10271April 27, 2016 - April 26, 2021
VOLANT LIQUIDITY, LLC
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
Series 7TO
Date: 3/13/2024
General Securities Representative ExaminationSeries 57TO
Date: 3/13/2024
Securities Trader ExamCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe C2 Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Investors' Exchange LLC
NYSE Arca, Inc.
Nasdaq BX, Inc.
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
TOWER PRINCIPAL MARKETS LLC
CRD#: 319604 / SEC#: , 8-70919
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TOWER RESEARCH CAPITAL LLC | MEMBER | |
| CONCANNON, SEAN PATRICK | PRINCIPAL FINANCIAL OFFICER | 5364102 |
| ELLMAN, MICHAEL GREG | PRINCIPAL OPERATIONS OFFICER & FINOP | 5574667 |
| MESTER, THOMAS BRENNER | CHIEF COMPLIANCE OFFICER | 2350593 |
| SHEDID, MARWA MAHMOUD | CHIEF OPERATING OFFFICER | 5470002 |
| WILSON, KENNETH NIXON | CEO | 3014927 |
Red Flags
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