Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Lau is a registered representative with Symetra Securities, Inc. James has been in the industry since 2002 and has held previous positions with M Holdings Securities, Inc. and Pacific Select Distributors, LLC. James is licensed to sell securities in nine states and has passed the Series 6, Series 63 and SIE exams.
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
WA
09/01/2021 - Present
Symetra Securities, Inc. (BELLEVUE WA)
CA
10/13/2015 - 10/02/2019
M HOLDINGS SECURITIES, INC. (COSTA MESA CA)
CA
04/06/2000 - 10/14/2015
PACIFIC SELECT DISTRIBUTORS, LLC (ALISO VIEJO CA)
AZ
11/26/1999 - 01/13/2000
SIMMERS CAPITAL MANAGEMENT CORPORATION (PHOENIX AZ)
BC
Issued 11/01/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/24/1999
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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