Kwun Sum
Lau

Oppenheimer & Co. Inc

CRD#6265921
Investment Advisor
in New York, NY
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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

Series 63, Chartered Financial Analyst

Years of Experience

11 years

Services Offered

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

Fee Structure

Percentage of Assets, Fixed Fees, Commissions, Performance-based Fees

Disclosures

No

Office Location

85 Broad Street 25Th Floor,26Th Floor
New York, NY 10004

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Oppenheimer & Co. Inc Brokerage Details

Total Assets Under Management

$11,190,648,770

NY Average: $7,464,549,021
Total Number of Employees

2,740

NY Average: 88
Total Number of Accounts

21,879

NY Average: 3,892
Average Account Size

$511,479

NY Average: $1,917,921

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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.

2015 - Present (4 years)

Oppenheimer & Co. Inc

2013 - 2015 (2 years)

Janney Montgomery Scott LLC

2011 - 2011 (0 years)

Pardus Capital Management

2011 - 2013 (2 years)

Mcgraw-Hill Financials

2010 - 2011 (1 years)

Columbia Business School

2010 - 2011 (1 years)

Federal Reserve Bank Of New York

2009 - 2010 (1 years)

Barclays

2007 - 2009 (2 years)

Hsbc

Disclosures

Kwun Sum Lau has no disclosures.

Please visit their SEC profile for more details.

This content was compiled from the SEC and FINRA.

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