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Chi fung Lau

Cetera Investment Services LLC

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About Chi fung Lau

Chi fung Lau is a financial professional with Cetera Investment Services LLC, a firm based in New York. Chi fung Lau has been in the industry for over a year. Chi fung Lau has passed the Series 63, Series 6TO, and SIE exams. Chi fung Lau is registered in New York.

Firm Information

Chi fung Lau is currently registered with Cetera Investment Services LLC. Cetera Investment Services LLC is a Limited Liability Company formed on November 30, 2012, and approved to operate in 53 states and the District of Columbia. The firm has 1 approved SEC registration and 53 approved state registrations. Cetera Investment Services LLC has a history of regulatory events (11 reported) and arbitration disclosures (3 reported).

Not reported

Assets Under Management

Not reported

Total Clients

372

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Chi fung Lau’s Registration & Firm History

NY

10/12/2022 - Present

Cetera Investment Services LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 12/30/2022

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/11/2022

Series 6TO - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 01/14/2022

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Chi fung Lau.
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