Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kevin? Claim Your ProfileKevin Johnny Lau is a registered representative with Citigroup Global Markets Inc. Kevin has been in the industry since 1994. Kevin has a Series 6, 7, 63 and 65 licenses as well as the SIE. Kevin's prior experience includes roles at CITICORP INVESTMENT SERVICES, PFS INVESTMENTS INC., and PRUCO SECURITIES CORPORATION.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Asset allocation advice
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.
1
2
NY
05/29/2007 - Present
Citigroup Global Markets Inc. (NEW YORK NY)
NY
02/16/1998 - 05/29/2007
CITICORP INVESTMENT SERVICES (NEW YORK NY)
GA
06/13/1995 - 07/06/1998
PFS INVESTMENTS INC. (DULUTH GA)
NJ
01/01/1994 - 12/22/1994
PRUCO SECURITIES CORPORATION (NEWARK NJ)
IA
Issued 04/30/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/11/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/08/1998
Series 7 - General Securities Representative Examination
BC
Issued 12/27/1993
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
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
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
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