Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Doris? Claim Your ProfileDoris Lau is a financial advisor with Cetera Investment Advisers LLC, registered in California and Texas. Doris has been in the industry since 2010 and has experience with a variety of firms, including Merrill Lynch, Pierce, Fenner & Smith Incorporated and HSBC Securities (USA) Inc. Doris holds Series 6, 7, 63 and 66 licenses and has a wealth of experience in providing financial planning and portfolio management services. Doris specializes in working with individuals, corporations, and charitable organizations.
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.
A percentage of the total value of assets under management is charged.
1
2
CA
10/20/2022 - Present
Cetera Investment Advisers LLC (ROWLAND HEIGHTS CA)
CA
09/15/2011 - 11/30/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PASADENA CA)
CA
06/02/2010 - 08/19/2011
HSBC SECURITIES (USA) INC. (WALNUT CA)
CA
02/25/2010 - 05/17/2010
FIRST BROKERAGE AMERICA, L.L.C. (ROWLAND HEIGHTS CA)
BOTH
Issued 11/15/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/24/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/19/2011
Series 7 - General Securities Representative Examination
BC
Issued 02/24/2010
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
Not sure Doris Lau is the right advisor for you? Invested Better is here to help.
