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Inactive

Griffin Lau

Corient

Chicago, IL

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Current Employers
Corient

830 Brickell Plaza Suite 4800, Miami, FL 33131 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2026-06-22
  • IL RA
    APPROVED
    Since 2026-06-22

Branch Locations

10 S Wacker Drive Suite 3100, Chicago, IL 60606 • 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
Rbc Capital Markets, Llc Chicago IL 04/2020 05/2023
Wells Fargo Chicago IL 05/2018 04/2020
Ameriprise Financial Worthington OH 08/2016 05/2018
Ohio State University Columbus OH 08/2014 05/2018
Vivaldi Capital Management Lp Chicago IL 05/2023 06/2026
Corient Chicago IL 06/2026 Present
Corient Services Llc Miami FL 06/2026 Present
  • 04/2020 → 05/2023
    Rbc Capital Markets, Llc
    Chicago, IL
  • 05/2018 → 04/2020
    Wells Fargo
    Chicago, IL
  • 08/2016 → 05/2018
    Ameriprise Financial
    Worthington, OH
  • 08/2014 → 05/2018
    Ohio State University
    Columbus, OH
  • 05/2023 → 06/2026
    Vivaldi Capital Management Lp
    Chicago, IL
  • 06/2026 → Present
    Corient
    Chicago, IL
  • 06/2026 → Present
    Corient Services Llc
    Miami, FL
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-09-08
  • S66 Uniform Combined State Law Examination
    2020-09-08
Designations
Other Names
  • Griffin A Lau

View on SEC IAPD

Other Firms

BROWNSON, REHMUS & FOXWORTH, INC.
PFINGSTEN PARTNERS, L.L.C.
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
GUGGENHEIM INVESTMENTS
PEKIN HARDY STRAUSS, INC.
SPIDERROCK ADVISORS, LLC
PROSPECT PARTNERS ADVISORS LLC
DOYENNE WEALTH ADVISORS

Other Investors

James Michael Franch
HAROLD NELSON LEAVELL
CARLYLE KELLY MADDEN
PHILIP JOHN RIDOLPHI
SUSAN MARY SHACKLETTE
KRISTI LYNN MILLS
NATHANIEL MITCHELL COLEMAN
KEITH MATTHEW CARDOZA

Other Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL
GUGGENHEIM INVESTMENTS · CHICAGO, IL
PEKIN HARDY STRAUSS, INC. · CHICAGO, IL
SPIDERROCK ADVISORS, LLC · CHICAGO, IL
PROSPECT PARTNERS ADVISORS LLC · CHICAGO, IL
DOYENNE WEALTH ADVISORS · CHICAGO, IL

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