Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brooks? Claim Your ProfileBrooks Christian Lau is a registered investment advisor representative with Principal Securities, Inc. Brooks has been in the financial services industry since 1998. Brooks is licensed in 31 states and two provinces, and holds the Series 6, 7, 24, 63 and 65 licenses. Brooks has experience working with individuals, corporations, charitable organizations and pension and profit sharing plans. Brooks provides financial planning and portfolio management services, and conducts educational seminars.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
Seminar fees, solicitors fees, subscription consulting fees
1
2
AZ
08/21/2023 - Present
Principal Securities, Inc. (PHOENIX AZ)
IA
10/29/2007 - 09/26/2008
PRINCIPAL FUNDS DISTRIBUTOR, INC. (DES MOINES IA)
CA
09/06/2001 - 01/28/2004
FRANKLIN/TEMPLETON DISTRIBUTORS, INC. (SAN MATEO CA)
IL
11/25/1997 - 05/09/2001
KEMPER DISTRIBUTORS, INC. (CHICAGO IL)
IA
Issued 03/02/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/20/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/31/2011
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/18/1998
Series 7 - General Securities Representative Examination
BC
Issued 11/24/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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