CL
Casey Lau
SIXTH STREET BD
San Francisco, CA 94129
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CRD#: 7768697
CL
Professional summary
Casey Lau is a registered financial professional currently at SIXTH STREET BD, LLC located in San Francisco, California.
Casey is registered as a RR (Registered Representative) and started their career in finance in 2023. Casey has worked at 2 firms and has passed the Series 63, Series 7TO, Series 79TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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 Casey Lau'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
February 12, 2025 - Present
SIXTH STREET BD, LLC
Office #1: 1 Letterman Drive Building B, Suite B6-100, San Francisco, CA 94129BD
CRD#: 281933
San Francisco, CA
Past
September 8, 2023 - January 29, 2025
WELLS FARGO SECURITIES, LLC
BD
CRD#: 126292
SAN FRANCISCO, CA
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
Alabama(2/12/2025)
RR
Alaska(2/12/2025)
RR
Arizona(2/12/2025)
RR
Arkansas(2/12/2025)
RR
California(2/12/2025)
RR
Colorado(2/12/2025)
RR
Connecticut(2/12/2025)
RR
Delaware(2/12/2025)
RR
District of Columbia(2/12/2025)
RR
Florida(2/12/2025)
RR
Georgia(2/12/2025)
RR
Hawaii(2/12/2025)
RR
Idaho(2/12/2025)
RR
Illinois(2/12/2025)
RR
Indiana(2/12/2025)
RR
Iowa(2/12/2025)
RR
Kansas(2/12/2025)
RR
Kentucky(2/12/2025)
RR
Louisiana(2/12/2025)
RR
Maine(2/12/2025)
RR
Maryland(2/12/2025)
RR
Massachusetts(2/12/2025)
RR
Michigan(2/12/2025)
RR
Minnesota(2/12/2025)
RR
Mississippi(2/12/2025)
RR
Missouri(2/12/2025)
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Montana(2/12/2025)
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Nebraska(2/12/2025)
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Nevada(2/12/2025)
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New Hampshire(2/12/2025)
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New Jersey(2/12/2025)
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New Mexico(2/12/2025)
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New York(2/12/2025)
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North Carolina(2/12/2025)
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North Dakota(2/12/2025)
RR
Ohio(2/13/2025)
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Oklahoma(2/12/2025)
RR
Oregon(2/12/2025)
RR
Pennsylvania(2/12/2025)
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Puerto Rico(2/12/2025)
RR
Rhode Island(2/12/2025)
RR
South Carolina(2/12/2025)
RR
South Dakota(2/12/2025)
RR
Tennessee(2/12/2025)
RR
Texas(2/12/2025)
RR
Utah(2/12/2025)
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Vermont(2/12/2025)
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Virgin Islands(2/12/2025)
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Virginia(2/12/2025)
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Washington(2/12/2025)
RR
West Virginia(2/12/2025)
RR
Wisconsin(2/12/2025)
RR
Wyoming(2/12/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/14/2025
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 9/7/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SS
SIXTH STREET BD, LLC
SIXTH STREET BD, LLC | TSSP BD, LLC
CRD#: 281933 / SEC#: , 8-69697
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
888 Seventh Avenue 41st Floor, New York, NY 10106
Mailing Address
888 Seventh Avenue 41st Floor, New York, NY 10106
Phone number
+1 (212) 405-8418
Established
Delaware since 01/26/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SIXTH STREET PARTNERS MANAGEMENT COMPANY, L.P. | MEMBER | |
| SIXTH STREET PARTNERS II MANAGEMENT COMPANY, L.P. | MEMBER | |
| CHEN, DAVID ERIC | CHIEF COMPLIANCE OFFICER | 5679045 |
| D'ARCY, BRIAN EDWARD | CO-CHIEF EXECUTIVE OFFICER | 4972383 |
| SIMMONDS, IAN TIMOTHY | CO-CHIEF EXECUTIVE OFFICER | 5028367 |
| TSSP HOLDCO MANAGEMENT, LLC | MANAGING MEMBER | |
| WANEK, DANIEL LOUIS | CHIEF FINANCIAL OFFICER/FINOP, POO, PFO | 6534764 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
SIXTH STREET BD, LLC
CRD#: 281933San Francisco, CA 94129TRUST BUT VERIFY
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