Wing Lai is a registered investment advisor, based in San Francisco, CA, with 14 years of industry experience.
Location
1143 Grant Ave, San Francisco, CA, 94133
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Cetera Investment Advisers LLC
October 2023 - Present · 2 yrs 9 mos
Cetera Investment Services LLCBroker
October 2023 - Present · 2 yrs 9 mos
Previous Registrations
Cetera Investment Advisers LLC
August 2017 - September 2023 · 6 yrs 1 mo
Cetera Investment Services LLCBroker
August 2017 - September 2023 · 6 yrs 1 mo
Scottrade Investment Management
March 2017 - July 2017 · 4 mos
Scottrade, INC.Broker
March 2011 - July 2017 · 6 yrs 4 mos
State Registrations5 states
AZCAFLNVWA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.