Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tyson? Claim Your ProfileTyson Yan cheung Lai is a financial advisor with Wells Fargo Clearing Services, LLC. Tyson has been in the industry since 1995. Tyson has been a registered representative of Wells Fargo Clearing Services, LLC since 2003. Prior to Wells Fargo, Tyson was registered with Prudential Securities Incorporated and Smith Barney Inc. Tyson holds several licenses including Series 7, 63, 65, 9, and 10. Tyson has a special focus on providing financial planning and investment consulting services to individuals, businesses and institutions. Tyson is a member of the Financial Industry Regulatory Authority (FINRA) and the Securities Investor Protection Corporation (SIPC).
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.
Investment consulting services to institutional clients
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.
1
2
CA
11/30/2015 - Present
Wells Fargo Clearing Services, LLC (PALO ALTO CA)
NY
07/03/1997 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
04/26/1996 - 05/27/1997
SMITH BARNEY INC. (NEW YORK NY)
NY
05/01/1995 - 04/22/1996
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 08/01/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/28/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/11/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/11/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/28/1995
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Tyson Lai is the right advisor for you? Invested Better is here to help.
