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Registered advisor
S••••••• L••
Feed of 09/14/2026
Also filed as Sue Lai
At current firm
0 y
since Jan 1, 2026
In the industry
35 y
since Sep 1, 1991 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jan 1, 2026 · El Monte, Ca
- L•• F•••••••• L•• BD affiliatedMar 1, 2017 to Sep 25, 2017 · El Monte, Ca
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 21, 2014 to Feb 28, 2017 · El Monte, Ca
- C••••• I••••••••• S••••••• L•• formerOct 5, 2006 to Jan 21, 2014 · Los Angeles, Ca
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedNov 29, 2004 to Oct 6, 2006 · Los Angeles, Ca
- C••••• I••••••••• S••••••• L•• formerJan 7, 2003 to Feb 17, 2004 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••left Sep 25, 2017, registered Jan 1, 2026 (3020 days) · Other · moved with a team
- C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••left Feb 28, 2017, registered Mar 1, 2017 (1 days) · Other · moved with a team
- C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
- U•••• F•••••••• S••••••• G••••• I••• to C••••• I••••••••• S••••••• L••left Oct 6, 2006, registered Oct 5, 2006 (-1 days) · Other
- C••••• I••••••••• S••••••• L•• to U•••• F•••••••• S••••••• G••••• I•••left Feb 17, 2004, registered Nov 29, 2004 (286 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address