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TYSON YAN CHEUNG LAI
TYSON YANCHEUNG LAI
CRD#: 2365309
IA
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WELLS FARGO ADVISORSCRD#: 19616 301 UNIVERSITY AVE 2ND FL
PALO ALTO, CA 94301
PALO ALTO, CA 94301
0
Disclosures
29
Years of Experience
View By:
State Registrations
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Arizona 7/1/2003
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Nevada 7/1/2003
B
California 7/1/2003
B
New Jersey 1/10/2024
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California 7/1/2003
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New York 7/1/2003
B
Colorado 7/1/2003
B
North Carolina 4/17/2018
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District of Columbia 10/12/2020
B
Ohio 4/17/2018
B
Florida 4/16/2018
B
Oregon 7/1/2003
B
Georgia 4/16/2018
B
Pennsylvania 7/1/2003
B
Hawaii 6/18/2019
B
Tennessee 4/16/2018
B
Idaho 8/2/2005
B
Texas 11/30/2015
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Maryland 8/30/2016
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Texas 11/30/2015
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Massachusetts 7/9/2004
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Utah 2/29/2016
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Minnesota 3/21/2025
B
Virginia 7/1/2003
B
Mississippi 9/20/2024
B
Washington 7/1/2003
B
Montana 4/16/2018
B
Wisconsin 5/19/2005
B
Nebraska 4/16/2018
SRO Registrations
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Registered with this firm since 7/1/2003
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Registered with this firm since 7/1/2003
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/08/1997 - 07/01/2003 | PALO ALTO, CA | |
B | 07/03/1997 - 07/01/2003 | NEW YORK, NY | |
B | 04/26/1996 - 05/27/1997 | NEW YORK, NY | |
B | 05/01/1995 - 04/22/1996 | NEW YORK, NY |
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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.
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.