Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ernest? Claim Your ProfileErnest Lau is a financial advisor with Fidelity Personal and Workplace Advisors, working in the Dublin, CA office. Ernest Lau has over 16 years of experience in the financial industry and has worked for firms including Wells Fargo Clearing Services, LLC, and Wells Fargo Investments, LLC. Ernest Lau holds Series 7 and Series 66 licenses, as well as the SIE designation, allowing Ernest Lau to offer securities and investment advisory services to individuals, corporations and charitable organizations. In addition to the securities registrations, Ernest Lau is registered with the state of California.
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.
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
07/11/2022 - Present
Fidelity Personal AND Workplace Advisors (DUBLIN CA)
CA
01/03/2011 - 01/19/2022
WELLS FARGO CLEARING SERVICES, LLC (SAN JOSE CA)
CA
09/26/2006 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (MILPITAS CA)
BOTH
Issued 10/12/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/25/2006
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
Not sure Ernest Lau is the right advisor for you? Invested Better is here to help.
