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WINFRED WING-ZAU LAI
Winfred Wing Zau Lai
CRD#: 6296817
IA
Investment Adviser
B
Broker
FIDELITY PERSONAL AND WORKPLACE ADVISORSCRD#: 288590 601 LARKSPUR LANDING CIRCLE
LARKSPUR, CA 94939
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 601 LARKSPUR LANDING CIRCLE
LARKSPUR, CA 94939
Registration History
2008201020122014201620182020202220242026IAFIDELITY PERSONAL AND WORKPLAC... (CRD# 288590)2020 - Present (4 years)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2019 - Present (5 years)
Disclosure(s)
View By:
1/25/2007
Criminal
Final Disposition
License(s)

State Registrations

B
California 6/17/2019

B
Massachusetts 1/6/2025

IA
California 12/22/2020

IA
Texas 2/16/2023

B
Hawaii 12/14/2023

B
Texas 1/6/2025

SRO Registrations

B
FINRA

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
FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590)
601 LARKSPUR LANDING CIRCLE, LARKSPUR, CA 94939
Registered with this firm since 12/22/2020

B
FIDELITY BROKERAGE SERVICES LLC (CRD#:7784)
601 LARKSPUR LANDING CIRCLE, LARKSPUR, CA 94939
BAY POINT, CA
Registered with this firm since 3/22/2019

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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.