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Irene Lau

SG Americas Securities, LLC

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About Irene Lau

Irene Lau is a financial professional with over 5 years of experience in the industry. She is currently registered with SG Americas Securities, LLC and has previously worked for Morgan Stanley. Irene Lau holds the Securities Industry Essentials (SIE) and Series 99 licenses.

Firm Information

Irene Lau is currently registered with SG Americas Securities, LLC. SG Americas Securities, LLC is a Limited Liability Company formed on August 8, 2003. The firm is registered with the SEC and in all 50 states, as well as Puerto Rico. They have a history of regulatory events, including 109 disclosures, as well as a criminal disclosure and an arbitration disclosure.

Not reported

Assets Under Management

Not reported

Total Clients

557

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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Irene Lau’s Registration & Firm History

NY

06/06/2019 - Present

SG Americas Securities, LLC (NEW YORK NY)

NY

03/13/2014 - 06/07/2019

MORGAN STANLEY (NEW YORK NY)

NY

02/19/2014 - 06/07/2019

MORGAN STANLEY & CO. LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/19/2014

Series 99 - Operations Professional Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Irene Lau.
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