Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Erik? Claim Your ProfileErik Lai is a financial advisor with Wells Fargo Securities, LLC. Erik has been in the financial industry since September 1, 2000. Erik holds a Series 66 license as well as Series 7, 24, 79, and 99 licenses. Erik is registered to conduct business in California. Erik previously worked at J.P. Morgan Securities LLC, J.P. Morgan Securities Inc., Wells Fargo Securities, LLC and Robertson Stephens, Inc.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
NC
09/28/2017 - Present
Wells Fargo Securities, LLC (CHARLOTTE NC)
CA
10/01/2008 - 09/26/2017
J.P. MORGAN SECURITIES LLC (SAN FRANCISCO CA)
NY
04/30/2008 - 10/01/2008
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
CA
10/01/2002 - 04/04/2008
WELLS FARGO SECURITIES, LLC (SAN FRANCISCO CA)
CA
08/07/2000 - 10/09/2002
ROBERTSON STEPHENS, INC. (SAN FRANCISCO CA)
BOTH
Issued 11/03/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 05/29/2001
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/05/2000
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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