Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Heidi? Claim Your ProfileHeidi Wai suen Lau is a financial professional with over 20 years of experience in the industry. Heidi is currently a registered representative with HSBC Securities (USA) Inc. Heidi has a broad range of experience in the financial services industry. Heidi has held previous positions with J.P. Morgan Securities LLC, Citigroup Global Markets Inc., Charles Schwab & Co., Inc., BANC OF AMERICA INVESTMENT SERVICES, INC., MML INVESTORS SERVICES, INC., and Charles Schwab & Co., Inc.. Heidi is licensed in multiple states including California, Connecticut, Florida, Hawaii, Illinois, Maryland, Michigan, Minnesota, Nevada, North Carolina, South Dakota, Texas and Washington.
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.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Provide asset alloc recommendations & based upon such recommendations 3rd party adv to manage assets pursuant to client approval
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
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2
CA
06/18/2019 - Present
Hsbc Securities (usa) Inc. (FREMONT CA)
CA
07/16/2015 - 08/31/2016
J.P. MORGAN SECURITIES LLC (FREMONT CA)
CA
08/04/2014 - 06/17/2015
CITIGROUP GLOBAL MARKETS INC. (LIVERMORE CA)
CA
01/30/2013 - 08/28/2013
CHARLES SCHWAB & CO., INC. (PLEASANTON CA)
CA
11/13/2006 - 11/06/2012
HSBC SECURITIES (USA) INC. (FREMONT CA)
CA
12/11/2001 - 10/05/2006
BANC OF AMERICA INVESTMENT SERVICES, INC. (FREMONT CA)
MA
08/24/2001 - 12/03/2001
MML INVESTORS SERVICES, INC. (SPRINGFIELD MA)
TX
04/15/1999 - 07/05/2001
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
BOTH
Issued 02/19/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/13/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/20/2001
Series 24 - General Securities Principal Examination
BC
Issued 04/12/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/27/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/26/1999
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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