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Liam Wai Cheong Lau

Morgan Stanley

Los Angeles, CA

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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2024-02-06
TX RA APPROVED 2024-02-05
  • CA RA
    APPROVED
    Since 2024-02-06
  • TX RA
    APPROVED
    Since 2024-02-05

Branch Locations

1999 Avenue Of The Stars Suite 2400, Los Angeles, CA 90067 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated La Jolla CA 05/2018 02/2024
Stifel, Nicolaus & Co. Phoenix AZ 06/2017 06/2017
Pacwest Investment Management Phoenix AZ 07/2017 08/2017
Funflicks Outdoor Movies San Diego CA 06/2015 06/2017
Unemployed San Diego CA 08/2017 05/2018
Bank Of America, N.A. La Jolla CA 10/2020 02/2024
Morgan Stanley Smith Barney Llc Los Angeles CA 02/2024 Present
  • 05/2018 → 02/2024
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    La Jolla, CA
  • 06/2017 → 06/2017
    Stifel, Nicolaus & Co.
    Phoenix, AZ
  • 07/2017 → 08/2017
    Pacwest Investment Management
    Phoenix, AZ
  • 06/2015 → 06/2017
    Funflicks Outdoor Movies
    San Diego, CA
  • 08/2017 → 05/2018
    Unemployed
    San Diego, CA
  • 10/2020 → 02/2024
    Bank Of America, N.A.
    La Jolla, CA
  • 02/2024 → Present
    Morgan Stanley Smith Barney Llc
    Los Angeles, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-10-30
  • S66 Uniform Combined State Law Examination
    2020-10-30
Other Names
  • Liam Wai Cheong Lau
  • Liam Lau

View on SEC IAPD

Other Firms

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GIDEON CAPITAL, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
TLG ADVISORS, INC.
NORTHERN TRUST SECURITIES, INC.
NUVEEN ASSET MANAGEMENT, LLC
WEALTHSPIRE RETIREMENT ADVISORY

Other Investors

TERRENCE MICHAEL DEMOREST
DIMITRI JIMMY KRIKELAS
CHRISTOPHER MILES WERNER
Sarah Mushtaq Chhotani
Julie Ann Yoon
Olivia R DiNapoli
Natalie Jeanne-Marie Glover
JAMES EDGAR BERLINER

Other Offices

POST ADVISORY GROUP, LLC · LOS ANGELES, CA
WESTMOUNT PARTNERS, LLC · LOS ANGELES, CA
GIDEON CAPITAL, LLC · LOS ANGELES, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS ANGELES, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS ANGELES, CA
TLG ADVISORS, INC. · Los Angeles, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS ANGELES, CA
NORTHERN TRUST SECURITIES, INC. · LOS ANGELES, CA

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