HL
Huo Na Lai
VALLEY FINANCIAL MANAGEMENT
New York, NY 10017
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CRD#: 7507404
HL
Professional summary
Huo Na Lai, who also goes by Huona Lai, Nora Lai, is a registered financial professional currently at VALLEY FINANCIAL MANAGEMENT, INC. located in New York, New York.
Huo Na is registered as a RR (Registered Representative) and started their career in finance in 2024. Huo Na has worked at 1 firm and has passed the Series 63, Series 79TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Huona Lai | Nora Lai
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Huo Na Lai's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 7, 2024 - Present
VALLEY FINANCIAL MANAGEMENT, INC.
Office #1: 350 Madison Avenue, New York, NY 10017RIA
BD
CRD#: 105387
New York, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
VF
VALLEY FINANCIAL MANAGEMENT, INC.
LEUMI INVESTMENT SERVICES | VFM | VALLEY FINANCIAL MANAGEMENT, INC. | VALLEY F.M. | LISI | LEUMI INVESTMENT SERVICES INC. | LEUMI INVESTMENT SERVICES INC
CRD#: 105387 / SEC#: 801-113685, 8-52993
RIA
Registered Investment Advisory firm - SEC (7/27/2018 Approved)California
Registered Investment Advisory firm - SEC (9/1/2018 Terminated)Florida
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/27/2018 Terminated)Louisiana
Registered Investment Advisory firm - SEC (8/3/2018 Terminated)Maryland
Registered Investment Advisory firm - SEC (8/10/2018 Terminated)New Jersey
Registered Investment Advisory firm - SEC (10/2/2018 Terminated)New York
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Ohio
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
New York(11/8/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 10/7/2024
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VF
VALLEY FINANCIAL MANAGEMENT, INC.
LEUMI INVESTMENT SERVICES | VFM | VALLEY FINANCIAL MANAGEMENT, INC. | VALLEY F.M. | LISI | LEUMI INVESTMENT SERVICES INC. | LEUMI INVESTMENT SERVICES INC
CRD#: 105387 / SEC#: 801-113685, 8-52993
RIA
Registered Investment Advisory firm - SEC (7/27/2018 Approved)California
Registered Investment Advisory firm - SEC (9/1/2018 Terminated)Florida
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/27/2018 Terminated)Louisiana
Registered Investment Advisory firm - SEC (8/3/2018 Terminated)Maryland
Registered Investment Advisory firm - SEC (8/10/2018 Terminated)New Jersey
Registered Investment Advisory firm - SEC (10/2/2018 Terminated)New York
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Ohio
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
350 Madison Ave. 4th Floor, Compliance Department, New York, NY 10017
Mailing Address
350 Madison Ave. 4th Floor, Compliance Department, New York, NY 10017
Phone number
(212) 407-4362
Established
New York since 08/08/2000
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
102
SEC notice filing (13 States and Territories)
FINRA licenses (49 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VALLEY NATIONAL BANK | DIRECT PARENT OF APPLICANT | |
| CHITTENDEN, KEVIN L. | DIRECTOR | 8047906 |
| COLLERAN, JOSEPH ARTHUR III | PRESIDENT / CEO | 1010582 |
| GAWLEY, CHRISTOPHER JON | GENERAL COUNSEL | 4997190 |
| LAN, TRAVIS | DIRECTOR | 5190958 |
| MAYO, JAMIE | CHIEF FINANCIAL OFFICER | 3113603 |
| SCHULTZ, MELISSA JOSEPH | CHAIRPERSON | 1155034 |
| WILSON, CHRISTOPHER MICHAEL | CHIEF COMPLIANCE OFFICER | 5163915 |
Regulatory assets under management
| Total Number of Accounts | 60 |
| AUM (Assets Under Management) | $ 55,000 |
Disclosures
| Regulatory Event | 5 |
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.
