Oppenheimer & Co. Inc
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About this Advisor
Kwun Sum Lau is an investment advisor based in New York, New York. Currently a registered investment advisor with Oppenheimer & Co. Inc, Lau has 11 years of professional experience as a financial advisor. Lau holds a Series 63 license, which qualifies the advisor as a securities agent. Lau is able to act as a financial advisor based out of New Jersey. During their career, Lau has held roles at Pardus Capital Management, Janney Montgomery Scott LLC, Mcgraw-Hill Financials, Columbia Business School, Federal Reserve Bank Of New York, Barclays, Hsbc and Oppenheimer & Co. Inc. Oppenheimer & Co. Inc is headquartered in New York, New York, and has 77 other brick-and-mortar locations in the country. In total, Oppenheimer & Co. Inc manages $11 billion in assets across 21,879 accounts and employs more than 2,740 people. The amount of assets the firm manages places it among the biggest firms in the United States. The firm manages 10,514 accounts on a discretionary basis, meaning the advisor makes investment decisions at their discretion. Currently 2% of the advisory firm's clients are high-net-worth individuals, meaning they have greater than $1 million in investable assets. Oppenheimer & Co. Inc provides financial planning services, portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, portfolio management for institutional clients, pension consulting services and selection of other advisers. The firm's fees may include asset-based, fixed, commission-based and performance-based fees.
Certifications and Registrations
Years of Experience
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Oppenheimer & Co. Inc Brokerage Details
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Investment Advisory Services
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses or institutional clients
- Pension consulting services
- Selection of other advisers
Kwun Sum Lau Work History
Kwun Sum has 11 years of experience.
Oppenheimer & Co. Inc
Janney Montgomery Scott LLC
Pardus Capital Management
Columbia Business School
Federal Reserve Bank Of New York
Kwun Sum Lau has no disclosures.
Please visit their SEC profile for more details.