Griffin Lau
Professional summary
Griffin Lau, who also goes by Griffin A Lau, is a registered financial advisor currently at VIVALDI CAPITAL MANAGEMENT LP located in Chicago, Illinois.
Griffin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Griffin has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Griffin Lau's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 2, 2024 - Present
VIVALDI CAPITAL MANAGEMENT LP
Office #1: 225 West Wacker Suite 2100, Chicago, IL 60606September 8, 2020 - May 17, 2023
RBC CAPITAL MARKETS, LLC
July 20, 2020 - May 17, 2023
RBC CAPITAL MARKETS, LLC
Primary Firm SEC Registration
VIVALDI CAPITAL MANAGEMENT LP
CRD#: 160150 / SEC#: 801-73024
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(8/2/2024)
Exams
Series 7TO
Date: 7/20/2020
General Securities Representative ExaminationCurrent Firm
VIVALDI CAPITAL MANAGEMENT LP
CRD#: 160150 / SEC#: 801-73024
Contact information
SEC notice filing (45 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8,413 |
| AUM (Assets Under Management) | $ 4,647,085,822 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/22/2024 | ||
| 10/24/2023 | ||
| 07/26/2022 |
Red Flags
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