Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Eric? Claim Your ProfileEric Ying kit Lau is a financial advisor with LPL Financial LLC. Eric has over 11 years of experience in the financial services industry. Eric is a Registered Representative and Investment Advisor Representative in the states of Arizona, California, and Nevada. Eric specializes in providing financial planning, portfolio management, and retirement planning services to individuals, families, and businesses. Eric is committed to helping clients achieve their financial goals through personalized financial advice and strategies.
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.
Consulting and other non-discretionary advisory services
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.
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CA
07/19/2023 - Present
LPL Financial LLC (DALY CITY CA)
CA
11/01/2019 - 07/19/2023
BANCWEST INVESTMENT SERVICES, INC. (BURLINGAME CA)
CA
05/12/2017 - 11/07/2019
PRUCO SECURITIES, LLC. (Walnut Creek CA)
CA
10/12/2016 - 04/13/2017
HORNOR, TOWNSEND & KENT, INC. (REDWOOD SHORES CA)
CA
01/18/2013 - 09/20/2016
AXA ADVISORS, LLC (SAN MATEO CA)
CA
01/24/2012 - 10/18/2012
PRUCO SECURITIES, LLC. (SAN FRANCISCO CA)
CA
10/24/2007 - 07/09/2008
METLIFE SECURITIES INC. (SAN JOSE CA)
BOTH
Issued 09/02/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/06/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/22/2013
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/04/2013
Series 7 - General Securities Representative Examination
BC
Issued 01/23/2012
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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