Peter S. Lau
Professional summary
Peter S Lau was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Peter is a previously registered financial professional and started their career in finance in 1979. Prior to being barred, Peter had worked at 5 firms, which includes INVESTEX SECURITIES GROUP INC., DREYFUS BROKERAGE SERVICES INC., PARKGREEN SECURITIES CORP., FIDELITY BROKERAGE SERVICES LLC, SOURCE SECURITIES CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 11, 1993 - January 28, 1998
INVESTEX SECURITIES GROUP, INC.
December 18, 1991 - January 5, 1993
DREYFUS BROKERAGE SERVICES, INC.
October 23, 1990 - August 19, 1991
PARKGREEN SECURITIES CORP.
October 2, 1981 - August 2, 1990
FIDELITY BROKERAGE SERVICES LLC
May 24, 1979 - October 16, 1981
SOURCE SECURITIES CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
INVESTEX SECURITIES GROUP, INC.
CRD#: 30094 / SEC#: , 8-44705
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SOMMA, FRANK JOHN | PRES, GENERAL PRINCIPAL | 1186283 |
| SCHROTT, JOCELYN MAE | SECRETARY, SHAREHOLDER | |
| SCHROTT, ALFRED N | FINOP | 2346374 |
| SCHROTT, ALFRED N | GENERAL PRINCIPAL | 2346374 |
| SIGNORILE, CHARLES GEORGE | GENERAL PRINCIPAL | |
| SIGNORILE, CHARLES GEORGE | ASS'T V.P.SENIOR REGISTERED OPTIONS PRINCIPAL | |
| SPICER, THOMAS | GENERAL PRINCIPAL | 2850935 |
| SPICER, THOMAS | V.P. COMPLIANCE REGISTERED OPTIONS PRINCIPAL | 2850935 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 4 |
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