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Detailed Report
WILLIAM THOMAS LAI III
WILLIAM THOMAS LAI
CRD#: 2262530
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 11025 630 JOHNSON AVE
SUITE 103
BOHEMIA, NY 11716
Registration History
19952000200520102015202020252 FIRMS2022 - Present (3 years)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2009 - 2022 (12 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1994 - 2009 (14 years)BPAINEWEBBER INCORPORATED (CRD# 8174)1992 - 1994 (2 years)IAWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2021 - 2022 (<1 year)
Disclosure(s)
View By:
10/5/2001
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 1/7/2022
B
New Jersey 1/7/2022
B
California 1/7/2022
B
New York 1/7/2022
B
Colorado 1/7/2022
IA
New York 1/7/2022
B
Connecticut 1/7/2022
B
North Carolina 1/7/2022
B
Florida 1/7/2022
B
Oregon 3/10/2022
B
Georgia 10/27/2023
B
Pennsylvania 1/7/2022
B
Maine 1/7/2022
B
Virginia 1/7/2022
B
Missouri 3/5/2025

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:11025)
630 JOHNSON AVE SUITE 103, BOHEMIA, NY 11716
Dix Hills, NY
Registered with this firm since 1/7/2022
B
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025)
630 JOHNSON AVE SUITE 103, BOHEMIA, NY 11716
Dix Hills, NY
Registered with this firm since 1/7/2022
Previous Registration(s)
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IA
 07/27/2021 - 01/07/2022 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) MELVILLE, NY
B
 02/27/2009 - 01/07/2022 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) MELVILLE, NY
B
 09/12/1994 - 03/19/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) JERICHO, NY
B
 09/08/1992 - 09/28/1994 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.