Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kelvin? Claim Your ProfileKelvin Sun ming Lau is a financial professional with over 30 years of experience in the financial services industry. Kelvin is a CERTIFIED FINANCIAL PLANNER™ professional and has a Series 7 and Series 63 license. Kelvin has held several positions in the industry, including roles at The Strategic Financial Alliance, Inc., Princor Financial Services Corporation, New England Securities, Pacific Century Investment Services, Inc., and American Express Financial Advisors Inc. Kelvin is currently registered in Arkansas, Colorado, Hawaii, Nevada, New Mexico, Texas, and Washington.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
CA
01/01/2025 - Present
THE Strategic Financial Alliance, Inc. (LARKSPUR CA)
IA
09/30/2002 - 06/08/2005
PRINCOR FINANCIAL SERVICES CORPORATION (DES MOINES IA)
NY
01/28/1999 - 09/17/2002
NEW ENGLAND SECURITIES (NEW YORK NY)
NA
01/03/1999 - 01/25/1999
NEW ENGLAND SECURITIES
HI
12/10/1996 - 01/15/1999
PACIFIC CENTURY INVESTMENT SERVICES, INC (HONOLULU HI)
MN
10/12/1990 - 07/07/1995
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
10/12/1990 - 07/07/1995
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BC
Issued 11/03/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/06/1990
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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