Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Elton? Claim Your ProfileElton Lai is a financial advisor registered with Charles Schwab & Co., Inc. and Schwab Wealth Advisory, Inc. in San Francisco, California. Elton has over 10 years of experience in the financial services industry. Elton has passed a number of securities exams, including Series 63, Series 65, Series 7, Series 9, Series 10 and the SIE exam. Elton also holds registrations in all 50 states. Elton provides investment advice to a wide range of clients, including high-net-worth individuals, corporations, and other businesses. Elton's primary services include financial planning and portfolio management.
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.
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.
Swa program paid by wrap sponsor pursuant to cost plan formula.
1
2
CA
04/18/2023 - Present
Schwab Wealth Advisory, Inc. (SAN FRANCISCO CA)
CA
05/01/2020 - 03/23/2023
WELLS FARGO CLEARING SERVICES, LLC (CUPERTINO CA)
CA
05/29/2018 - 04/17/2020
MORGAN STANLEY (CUPERTINO CA)
CA
04/20/2015 - 05/31/2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN JOSE CA)
CA
01/18/2013 - 06/04/2014
INTEGRAL FINANCIAL LLC (CUPERTINO CA)
HI
12/21/2012 - 01/24/2013
FIRST COMMAND FINANCIAL PLANNING, INC. (AIEA HI)
HI
07/23/2012 - 09/28/2012
SCOTTRADE, INC. (HONOLULU HI)
IA
Issued 6/10/2015
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 8/16/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/30/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 6/13/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 7/19/2012
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
Not sure Elton Lai is the right advisor for you? Invested Better is here to help.
Copyright 2024 Invested Better
Invested Better, LLC ("Invested Better") provides a matching service whereby users are connected with third-party financial advisors ("Advisors") who are registered and licensed as financial advisors in the United States and have elected to participate in our matching platform. Information provided by users through our online questionnaire facilitates the determination of suitable Advisor matches. Invested Better receives a set cost per lead compensation from Advisors in exchange for this referral service.
Please be advised that Invested Better does not evaluate the ongoing performance of any Advisor, nor does it participate in the management of user accounts or provide advice regarding specific investments. We do not manage client funds or hold assets in custody. Our role is solely to facilitate connections between users and potentially suitable financial advisors. All investing involves inherent risks, including the potential loss of principal. There is no guarantee that working with an advisor will result in positive returns. Potential downsides include the payment of fees, which can reduce overall returns. The existence of a fiduciary duty does not preclude the potential for conflicts of interest.
Invested Better maintains a directory of all actively registered financial advisors and firms based on the public filings with FINRA and SEC. Advisors and firms may verify their identity to claim and take control to update and edit their profile information. Invested Better does not guarantee the accuracy of any information updated by advisors or firms on their profile.
