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Detailed Report
QWENDALYNN THUC LAI
QUYEN THUC LAI
CRD#: 5576511
IA
Investment Adviser
B
Broker
SVB WEALTHCRD#: 172832 2770 Sand Hill Rd.
Menlo Park, CA 94025
FIRST CITIZENS INVESTOR SERVICES, INC.CRD#: 44430 2770 Sand Hill Rd
Menlo Park, CA 94025
Registration History
20082010201220142016201820202022202420262 FIRMS2011 - 2020 (9 years)IASVB WEALTH (CRD# 172832)2022 - Present (2 years)BFIRST CITIZENS INVESTOR SERVIC... (CRD# 44430)2023 - Present (1 year)BSVB INVESTMENT SERVICES INC. (CRD# 168116)2020 - 2023 (3 years)BWELLS FARGO INVESTMENTS, LLC (CRD# 10582)2008 - 2011 (2 years)IASVB INVESTMENT SERVICES INC. (CRD# 168116)2020 - 2022 (2 years)IAWELLS FARGO INVESTMENTS, LLC (CRD# 10582)2009 - 2011 (1 year)
License(s)

State Registrations

IA
Arizona 7/8/2022
IA
Minnesota 6/30/2022
IA
California 6/28/2022
IA
Nevada 7/12/2022
B
California 12/14/2023
IA
New Jersey 6/29/2022
IA
Colorado 6/28/2022
IA
Oregon 8/8/2022
IA
Indiana 6/29/2022
IA
Utah 6/29/2022
IA
Louisiana 6/29/2022
IA
Washington 6/29/2022
IA
Michigan 6/30/2022

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
SVB WEALTH (CRD#:172832)
2770 Sand Hill Rd., Menlo Park, CA 94025
Registered with this firm since 6/28/2022
B
FIRST CITIZENS INVESTOR SERVICES, INC. (CRD#:44430)
2770 Sand Hill Rd, Menlo Park, CA 94025
Registered with this firm since 12/14/2023
Previous Registration(s)
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B
 07/02/2020 - 12/31/2023 SVB INVESTMENT SERVICES INC. (CRD#:168116) Santa Clara, CA
IA
 04/28/2020 - 07/29/2022 SVB INVESTMENT SERVICES INC. (CRD#:168116) Santa Clara, CA
IA
 01/03/2011 - 04/30/2020 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) SUNNYVALE, CA
B
 01/03/2011 - 04/30/2020 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) SUNNYVALE, CA
IA
 04/13/2009 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) LOS ALTOS, CA
B
 09/15/2008 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) LOS ALTOS, CA
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.