Brian J. Lau
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.
Brian Joseph Lau, who also goes by Brian Lau, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2017. Brian had worked at 3 firms and has passed the Series 63, Series 87, SIE 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
February 21, 2020 - May 17, 2022
WOLFE RESEARCH SECURITIES
October 16, 2018 - February 10, 2020
SIDOTI & COMPANY, LLC
August 29, 2017 - August 7, 2018
VANGUARD MARKETING CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
WOLFE RESEARCH SECURITIES
CRD#: 151850 / SEC#: , 8-68406
Contact information
FINRA licenses (48 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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