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Wai Pang rick Sze

Barclays Capital Inc.

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About Wai Pang rick Sze

Wai Pang rick Sze is a financial professional with over 23 years of experience in the industry. Wai has held various positions at prominent financial institutions, including Merrill Lynch, Pierce, Fenner & Smith Incorporated, Goldman, Sachs & Co., and Credit Suisse First Boston LLC. Wai's current employment is with Barclays Capital Inc., where Wai is registered as a General Securities Representative. Wai is licensed to sell securities in New York. Wai has passed the Series 3, 7, and SIE exams and is currently registered with FINRA.

Firm Information

Wai Sze is currently registered with Barclays Capital Inc.. Barclays Capital Inc. is a Corporation formed on March 30, 1998 and is registered in all 50 states, as well as the District of Columbia, Puerto Rico and the Virgin Islands. The firm has a history of regulatory and civil events, with 120 regulatory disclosures and 4 civil disclosures on record.

Not reported

Assets Under Management

Not reported

Total Clients

434

Total Financial Advisors

Services Offered

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.

Fee Structure

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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Wai Sze’s Registration & Firm History

NY

09/09/2022 - Present

Barclays Capital Inc. (NEW YORK NY)

NY

05/10/2019 - 06/08/2022

BOFA SECURITIES, INC. (NEW YORK NY)

NY

02/23/2012 - 05/10/2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NY

06/08/2004 - 08/09/2011

GOLDMAN, SACHS & CO. (NEW YORK NY)

NY

01/07/2000 - 04/07/2004

CREDIT SUISSE FIRST BOSTON LLC (NEW YORK NY)

NY

08/04/1998 - 11/03/1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 06/26/2006

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/16/1999

Series 3 - National Commodity Futures Examination

BC

Issued 07/18/1998

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

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

L

Long-Term Stock Exchange, Inc.

M

MEMX 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

Disclosures

There are no public disclosures for Wai Pang rick Sze.
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