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Dorothy Lau

Wells Fargo Securities, LLC

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About Dorothy Lau

Dorothy Lau is a financial professional with over 15 years of experience in the securities industry. Dorothy is currently registered with Wells Fargo Securities, LLC and holds Series 7, 63, 79TO and SIE licenses. Dorothy's prior experience includes roles at SMBC Nikko Securities America, Inc., Commonwealth Australia Securities LLC and BNP Paribas Securities Corp. Dorothy is licensed in all 50 states and the District of Columbia.

Firm Information

Dorothy Lau is currently registered with Wells Fargo Securities, LLC. Wells Fargo Securities, LLC is a Limited Liability Company formed in March 2003. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

1,325

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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Dorothy Lau’s Registration & Firm History

NY

01/05/2024 - Present

Wells Fargo Securities, LLC (New York NY)

NY

02/06/2020 - 01/09/2024

SMBC NIKKO SECURITIES AMERICA, INC. (NEW YORK NY)

NY

05/04/2015 - 11/12/2019

COMMONWEALTH AUSTRALIA SECURITIES LLC (NEW YORK NY)

NY

08/22/2007 - 03/18/2015

BNP PARIBAS SECURITIES CORP. (NEW YORK NY)

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Licenses & Designations

BC

Issued 10/01/2007

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/21/2007

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Dorothy Lau.
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