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Wai Yan Lui

Scotia Capital (usa) Inc.

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About Wai Yan Lui

Wai Yan Lui is a registered representative with Scotia Capital (usa) Inc. Wai Yan Lui has been in the financial services industry since 1997. Wai Yan Lui is a registered principal with the Financial Industry Regulatory Authority (FINRA). Wai Yan Lui holds Series 7, Series 27, Series 99TO and SIE licenses. Wai Yan Lui previously worked at Deutsche Bank Securities Inc., Cantor Fitzgerald & Co., TD Ameritrade, Inc., SG Americas Securities, LLC, SG Cowen Securities Corporation, BNP Paribas Securities Corp. and Dillon, Read & Co. Inc.

Firm Information

Wai Lui is currently registered with Scotia Capital (usa) Inc.. Scotia Capital (usa) Inc. is a corporation formed in 1939 and headquartered in the United States. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia and Puerto Rico.

Not reported

Assets Under Management

Not reported

Total Clients

108

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 Lui’s Registration & Firm History

NY

03/01/2018 - Present

Scotia Capital (usa) Inc. (NEW YORK NY)

NY

07/29/2010 - 02/20/2018

DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)

NY

07/18/2007 - 07/19/2010

CANTOR FITZGERALD & CO. (NEW YORK NY)

NY

09/14/2004 - 07/18/2007

TD AMERITRADE, INC. (NEW YORK NY)

NY

04/26/2004 - 09/29/2004

SG AMERICAS SECURITIES, LLC (NEW YORK NY)

NY

10/11/2000 - 04/26/2004

SG COWEN SECURITIES CORPORATION (NEW YORK NY)

NY

10/03/1997 - 11/06/2000

BNP PARIBAS SECURITIES CORP. (NEW YORK NY)

CT

04/29/1997 - 08/28/1997

DILLON, READ & CO. INC. (STAMFORD CT)

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Licenses & Designations

BC

Issued 07/02/2001

Series 27 - Financial and Operations Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/28/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Wai Yan Lui.
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