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I-hung Lai

Barclays Capital Inc.

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About I-hung Lai

I-hung Lai is a financial professional with a diverse skillset. I-hung currently works at Barclays Capital Inc. in New York, NY and is registered with the Securities and Exchange Commission and the Financial Industry Regulatory Authority. I-hung has been in the financial industry for over 2 years. I-hung specializes in providing financial advice to a wide range of clients.

Firm Information

I-hung Lai is currently registered with Barclays Capital Inc.. Barclays Capital Inc. is a Corporation formed on March 30, 1998 and is registered in all 50 states, as well as the District of Columbia, Puerto Rico and the Virgin Islands. The firm has a history of regulatory and civil events, with 120 regulatory disclosures and 4 civil disclosures on record.

Not reported

Assets Under Management

Not reported

Total Clients

434

Total Financial Advisors

Services Offered

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.

Fee Structure

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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I-hung Lai’s Registration & Firm History

NY

05/30/2023 - Present

Barclays Capital Inc. (NEW YORK NY)

NY

10/03/2022 - 05/30/2023

CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 10/24/2022

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/12/2022

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 11/07/2022

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 10/03/2022

Series 7TO - General Securities Representative Examination

BC

Issued 08/29/2022

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

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

Disclosures

There are no public disclosures for I-hung Lai.
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