Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mary? Claim Your ProfileMary Yukwah Lai is a registered Investment Advisor Representative with Charles Schwab & CO., Inc., based in Cupertino, CA. Mary holds the Series 63 and Series 65 licenses and is also a Certified Financial Planner. She is a long-time financial professional with over 25 years of experience in the industry. Prior to joining Charles Schwab in 1997, Mary was with Merrill Lynch, Pierce, Fenner & Smith Incorporated in New York, NY. Mary is registered with the state of California as a Broker-Dealer and Investment Advisor Representative and holds licenses in other states as well. Mary's primary affiliation is with Charles Schwab & CO., Inc., where she has been employed since 1997. She works at the branch office located in Cupertino, CA.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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CA
07/08/1997 - Present
Charles Schwab & CO., Inc. (Cupertino CA)
NY
07/16/1996 - 06/06/1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 07/25/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/18/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/02/1999
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/10/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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