Winfred Lai

Current Employers

Strategic Advisers Llc

155 Seaport Blvd, Boston, MA 02210-2698 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2025-03-31
TX	RA	APPROVED_RES	2025-03-31

CA RA
APPROVED

Since 2025-03-31
TX RA
APPROVED_RES

Since 2025-03-31

Branch Locations

601 Larkspur Landing Circle, Larkspur, CA 94939-1722 • United States

Bay Point, CA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Cass, Inc.	Oakland	CA	02/2015	12/2018
Fidelity Brokerage Services Llc	Larkspur	CA	12/2018	Present
Fidelity Investments	Boston	MA	03/2025	Present

02/2015 → 12/2018

Cass, Inc.

Oakland, CA
12/2018 → Present

Fidelity Brokerage Services Llc

Larkspur, CA
03/2025 → Present

Fidelity Investments

Boston, MA

Previous Registrations

2020-12-22 → 2025-03-31

Fidelity Personal And Workplace Advisors

Larkspur, CA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2020-10-27
S63	Uniform Securities Agent State Law Examination	2019-06-14

S66 Uniform Combined State Law Examination

2020-10-27
S63 Uniform Securities Agent State Law Examination

2019-06-14

Other Names

Winfred Wing-Zau Lai
Winfred Wing Zau Lai

View on SEC IAPD

Current Employers

Strategic Advisers Llc

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews