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Lawrence Chan

Running Oak Capital LLC

Windermere, FL

Minneapolis, MN

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Current Employers
Running Oak Capital Llc

4415 E Lake Harriet Pkwy, Minneapolis, MN 55419 • United States

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2022-06-07
  • MN RA
    APPROVED
    Since 2022-06-07

Branch Locations

Windermere, FL • United States

4415 E Lake Harriet Pkwy, Minneapolis, MN 55419 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
J.P. Morgan Securities Llc New York NY 10/2008 07/2020
Running Oak Capital Edina MN 06/2022 Present
Not Employed Not Applicable FL 08/2020 05/2022
  • 10/2008 → 07/2020
    J.P. Morgan Securities Llc
    New York, NY
  • 06/2022 → Present
    Running Oak Capital
    Edina, MN
  • 08/2020 → 05/2022
    Not Employed
    Not Applicable, FL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-02-23
S63 Uniform Securities Agent State Law Examination 2004-12-20
  • S66 Uniform Combined State Law Examination
    2022-02-23
  • S63 Uniform Securities Agent State Law Examination
    2004-12-20
Other Names
  • Lawrence Chan
  • Lawrence Lap-Ming Chan
  • Larry Chan
  • Lawrence L Chan

View on SEC IAPD

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