Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Elias? Claim Your ProfileElias Dau is a financial advisor registered with Wells Fargo Clearing Services, LLC. Elias has been in the industry since 2001 and has held positions at various financial institutions including Merrill Lynch, Pierce, Fenner & Smith Incorporated, Principal Securities, Inc., and Citigroup Global Markets Inc. Elias has experience providing investment consulting services to institutional clients, financial planning, pension consulting, and portfolio management for businesses and individuals.
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.
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.
Investment consulting services to institutional clients
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.
1
2
CA
12/20/2021 - Present
Wells Fargo Clearing Services, LLC (EL SEGUNDO CA)
CA
03/20/2019 - 04/12/2021
PRINCIPAL SECURITIES, INC. (COSTA MESA CA)
CA
02/17/2009 - 06/13/2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEWPORT BEACH CA)
NJ
02/05/2009 - 02/26/2009
CITIGROUP GLOBAL MARKETS INC. (PARAMUS NJ)
NJ
04/07/2004 - 02/06/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (FORT LEE NJ)
NY
03/20/2003 - 02/23/2004
MORGAN STANLEY DW INC. (PURCHASE NY)
MI
07/17/2002 - 09/06/2002
H&R BLOCK FINANCIAL ADVISORS, INC. (DETROIT MI)
NY
06/22/2001 - 06/07/2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
12/20/2000 - 04/10/2001
AXA ADVISORS, LLC (NEW YORK NY)
NY
12/02/1997 - 03/14/2000
AXA ADVISORS, LLC (NEW YORK NY)
NY
12/02/1997 - 01/05/2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)
IA
Issued 07/06/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/26/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/14/2020
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 12/17/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/08/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/26/2001
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 06/13/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/17/2010
Series 3 - National Commodity Futures Examination
BC
Issued 12/21/1999
Series 7 - General Securities Representative Examination
BC
Issued 12/01/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Elias Dau is the right advisor for you? Invested Better is here to help.
