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Detailed Report
HIEN LAI
HIEN T. LAI, HIEN THUC LAI, KERI LAI
CRD#: 5669071
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 17 COWBOYS WAY STE 500
FRISCO, TX 75034
Registration History
2010201220142016201820202022202420262 FIRMS2009 - 2016 (6 years)2 FIRMS2016 - 2023 (7 years)2 FIRMS2023 - Present (1 year)IAAMERIPRISE FINANCIAL SERVICES,... (CRD# 6363)2016 - 2016 (<1 year)
Disclosure(s)
View By:
6/3/2015
Customer Dispute
Closed-No Action
License(s)

State Registrations

B
Arizona 8/15/2023
B
Mississippi 8/15/2023
B
Arkansas 8/15/2023
B
Nebraska 8/15/2023
B
California 8/15/2023
B
North Carolina 8/15/2023
B
Colorado 8/15/2023
B
Oklahoma 8/15/2023
B
Florida 8/15/2023
B
Tennessee 8/15/2023
B
Illinois 8/15/2023
B
Texas 8/15/2023
B
Indiana 8/15/2023
IA
Texas 8/15/2023
B
Louisiana 8/15/2023
B
Utah 8/15/2023
B
Maine 8/15/2023

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

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#:19616)
17 COWBOYS WAY STE 500, FRISCO, TX 75034
Registered with this firm since 8/15/2023
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
17 COWBOYS WAY STE 500, FRISCO, TX 75034
Registered with this firm since 8/15/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 07/28/2016 - 08/16/2023 AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363) DALLAS, TX
B
 06/29/2016 - 08/16/2023 AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363) DALLAS, TX
IA
 06/29/2016 - 06/30/2016 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) DALLAS, TX
IA
 09/21/2009 - 06/29/2016 METLIFE SECURITIES INC. (CRD#:14251) DALLAS, TX
B
 07/14/2009 - 06/29/2016 METLIFE SECURITIES, INC (CRD#:14251) DALLAS, TX
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.