Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Gordon? Claim Your ProfileGordon Lau, a financial professional with over 20 years of experience in the industry, is a Registered Representative and Investment Advisor Representative at Wells Fargo Clearing Services, LLC. Gordon has held previous positions at firms including Hightower Securities, LLC, Invesco Distributors, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Prudential Securities Incorporated, and Baraban Securities, Inc.. Gordon is committed to providing personalized financial advice and guidance to individuals and families.
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
IL
04/28/2021 - Present
Wells Fargo Clearing Services, LLC (BLOOMINGTON IL)
IL
01/21/2020 - 05/12/2020
HIGHTOWER SECURITIES, LLC (CHICAGO IL)
IL
08/23/2011 - 05/31/2019
INVESCO DISTRIBUTORS, INC. (DOWNERS GROVE IL)
CO
08/01/2001 - 08/15/2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (GREENWOOD VILLAGE CO)
NY
06/19/1996 - 12/21/2000
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
CA
04/11/1996 - 07/09/1996
BARABAN SECURITIES, INC. (LOS ANGELES CA)
IA
Issued 03/03/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/23/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/15/2009
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/03/2009
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/10/1996
Series 7 - General Securities 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 Gordon Lau is the right advisor for you? Invested Better is here to help.
