AdFi
LC

Lawrence Chan

Investment Adviser Representative at RUNNING OAK CAPITAL LLC

Windermere, FLCRD #4819537Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
20 yrs
States Registered
1 states
Exams Passed
6

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Lawrence Chan has worked in the securities industry since 2006. They are registered to provide investment advisory services in Minnesota.

Registrations & licenses

Registration type
Dual-registered
Registered in 1 states
Minnesota
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 2/23/2022
Series 63
Uniform Securities Agent State Law Examination
Passed 12/20/2004
Series 7
General Securities Representative Examination
Passed 3/30/2024
Series 99
Operations Professional Examination
Passed 3/30/2024
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 10/25/2004

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

Running OAK Capital LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

RUNNING OAK CAPITAL LLCCurrent
6/7/2022Windermere, FL
J.P. MORGAN SECURITIES LLC
7/21/20058/4/2020New York, NY
J.P. MORGAN SECURITIES INC.
10/28/20046/29/2005New York, NY

Official records & sources

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

Other advisors at RUNNING OAK CAPITAL LLC

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View RUNNING OAK CAPITAL LLC firm profile
About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Lawrence Chan has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Lawrence Chan - Financial Advisor in Windermere, FL | AdvisorFinder