Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Lau is a financial advisor at Janney Montgomery Scott LLC. David has been in the securities industry since 2002. David has a Series 7, 24 and 63 license and is registered to sell securities in 13 states. David is a specialist in stocks, bonds, mutual funds, options, and variable annuities. David has an active Broker-Dealer registration with the state of Massachusetts and is not currently registered as an Investment Advisor Representative.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fee plus commission
1
2
MA
04/18/2003 - Present
Janney Montgomery Scott LLC (Boston MA)
GA
05/01/2019 - 11/25/2019
FIG PARTNERS, LLC (ATLANTA GA)
MA
06/26/1997 - 08/26/1998
TUCKER ANTHONY INCORPORATED (BOSTON MA)
BC
Issued 03/17/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/06/2022
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/16/2003
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
N
New York Stock Exchange
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