Pui Shan Lo
Professional summary
Pui Shan Lo is a registered financial professional currently at BLOOMBERG TRADEBOOK LLC located in New York, New York and BLOOMBERG TRADEBOOK CANADA COMPANY located in New York, New York.
Pui Shan is registered as a RR (Registered Representative) and started their career in finance in 2016. Pui Shan has worked at 3 firms and has passed the Series 99TO, SIE and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Pui Shan Lo's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 4, 2022 - Present
BLOOMBERG TRADEBOOK LLC
Office #1: 731 Lexington Ave, New York, NY 10022December 12, 2025 - Present
BLOOMBERG TRADEBOOK CANADA COMPANY
Office #1: 731 Lexington Ave, New York, NY 10022August 30, 2016 - October 4, 2022
SMBC NIKKO SECURITIES AMERICA, INC.
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 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
BLOOMBERG TRADEBOOK CANADA COMPANY
CRD#: 313267 / SEC#: , 8-70683
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BLOOMBERG CANADA LLC | SOLE SHAREHOLDER | |
| BENDER, GREGORY | DIRECTOR | 5601000 |
| KAPLAN, PAUL WILLIAM | PRESIDENT, DIRECTOR | 4092439 |
| MILHAM, CHRISTOPHER MICHAEL | FINANCIAL AND OPERATIONS PRINCIPAL, PFO, POO | 3092157 |
| ROTELA, DOUGLAS MARTIN | CHIEF COMPLIANCE OFFICER | 5127496 |
| SANTORE, RICHARD RAYMOND III | DIRECTOR | 4978129 |
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.
