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Samuel Kwun Pong Lau
SAMUEL KWUN PONG LAU
CRD#: 4717237
IA
Investment Adviser
B
Broker
MML INVESTORS SERVICES, LLCCRD#: 10409 100 E Huntington Drive
Ste 100
Alhambra, CA 91801
Registration History
2004200620082010201220142016201820202022202420263 FIRMS2004 - 2005 (1 year)2 FIRMS2007 - 2010 (2 years)2 FIRMS2010 - 2015 (5 years)2 FIRMS2023 - Present (1 year)BMML INVESTORS SERVICES, LLC (CRD# 10409)2015 - 2017 (2 years)BCITICORP INVESTMENT SERVICES (CRD# 23988)2005 - 2007 (1 year)
Disclosure(s)
View By:
4/3/2017
Customer Dispute
Closed-No Action
10/20/2008
Customer Dispute
Denied
License(s)

State Registrations

B
California 7/13/2023

B
Hawaii 1/22/2025

IA
California 7/14/2023

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MML INVESTORS SERVICES, LLC (CRD#:10409)
100 E Huntington Drive Ste 100, Alhambra, CA 91801
Registered with this firm since 7/14/2023

B
MML INVESTORS SERVICES, LLC (CRD#:10409)
100 E Huntington Drive Ste 100, Alhambra, CA 91801
Registered with this firm since 5/31/2023

Previous Registration(s)
th hidden textth hidden textNameLocation
B
09/16/2015 - 09/07/2017 MML INVESTORS SERVICES, LLC (CRD#:10409) ARCADIA, CA
IA
03/02/2010 - 06/01/2015 HSBC SECURITIES (USA) INC. (CRD#:19585) SAN GABRIEL, CA
B
03/01/2010 - 06/01/2015 HSBC SECURITIES (USA) INC. (CRD#:19585) SAN GABRIEL, CA
IA
06/13/2007 - 02/19/2010 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) MONTEREY PARK, CA
B
05/29/2007 - 02/19/2010 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) MONTEREY PARK, CA
B
11/17/2005 - 05/29/2007 CITICORP INVESTMENT SERVICES (CRD#:23988) MONTEREY PARK, CA
IA
04/26/2004 - 06/17/2005 AMERICAN EXPRESS FINANCIAL ADVISORS, INC. (CRD#:6363) IRVINE, CA
B
01/28/2004 - 06/17/2005 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363) MINNEAPOLIS, MN
B
01/28/2004 - 06/17/2005 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
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B
Broker
IA
Investment Adviser
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.