Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kwun sum? Claim Your ProfileKwun sum Lau is a Registered Representative and Investment Advisor Representative with Oppenheimer & Co. Inc. Kwun sum Lau has been in the industry since January 18, 2014. Kwun sum Lau has passed the Series 7, Series 63, Series 86, Series 87, and SIE exams. Kwun sum Lau is registered with the state of New Jersey and New York. Kwun sum Lau is also a Chartered Financial Analyst.
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.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
NY
04/07/2021 - Present
Oppenheimer & Co. Inc. (NEW YORK NY)
NY
01/07/2014 - 08/06/2015
JANNEY MONTGOMERY SCOTT LLC (NEW YORK NY)
BC
Issued 04/04/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/20/2014
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 02/04/2014
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 01/07/2014
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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