Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jim? Claim Your ProfileJim Lau is a financial professional registered with Fidelity Brokerage Services LLC. Jim is also registered with National Financial Services LLC and previously worked with ECAPITALIST FINANCIAL SERVICES, L.P.. Jim has been working in the financial services industry since 1999 and holds the Series 7, Series 63 and Series 99TO licenses. Jim has been registered with Fidelity Brokerage Services LLC since April 2023.
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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RI
04/18/2023 - Present
Fidelity Brokerage Services LLC (SMITHFIELD RI)
NY
11/29/2000 - 02/20/2001
ECAPITALIST FINANCIAL SERVICES, L.P. (NEW YORK NY)
BC
Issued 12/11/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/11/2019
Series 99TO - Operations Professional Examination
BC
Issued 10/25/2019
SIE - Securities Industry Essentials Examination
BC
Issued 11/28/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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