Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Bernard? Claim Your ProfileBernard Carlos Lau is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc.. Bernard has been in the industry since January 5, 2000, and has extensive experience in the financial services industry. Bernard holds the Series 7, Series 9, Series 10, Series 24, Series 31, and Series 63 licenses and is registered to provide investment advice in multiple states across the U.S. Bernard provides a range of financial services to individuals, corporations, and institutions including portfolio management, financial planning, and pension consulting.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
AZ
11/27/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SCOTTSDALE AZ)
BOTH
Issued 11/26/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/03/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/11/2012
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/13/2012
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/18/2005
Series 24 - General Securities Principal Examination
BC
Issued 04/17/2021
Series 31 - Futures Managed Funds Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/05/2000
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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