linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Lawrence Hau

Wells Fargo Clearing Services, LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Lawrence? Claim Your Profile

About Lawrence Hau

Lawrence Hau is a registered representative with Wells Fargo Clearing Services, LLC. Lawrence has been in the industry since August 1997 and has experience working at various financial institutions including J.P. Morgan Securities LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Lawrence is licensed in Delaware, District of Columbia, Florida, Maine, Massachusetts, New Jersey, and New York. Lawrence specializes in various services including Financial Planning, Investment Consulting Services to Institutional Clients, and Retirement Planning.

Firm Information

Lawrence Hau is currently registered with Wells Fargo Clearing Services, LLC. Wells Fargo Clearing Services, LLC is a Limited Liability Company formed in March 2003 and headquartered in St. Louis, Missouri. They offer a variety of investment advisory services, including financial planning, pension consulting, and portfolio management for individuals, businesses, and institutional clients. With over $10 billion to $50 billion in assets under management, the firm provides services to a diverse client base, including high-net-worth individuals, corporations, charitable organizations, pension plans, and state or municipal government entities. They are registered with the SEC and all 50 states.
Wells Fargo Clearing Services, LLC

ONE NORTH JEFFERSON AVENUE

ST. LOUIS, MO 63103-2205

$558.46B

Assets Under Management

5,927

Total Clients

17,168

Total Financial Advisors

Services Offered

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.

check

financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

check

pension consulting services

Guidance on pension options to ensure a secure financial future.

check

selection of other advisors

Helps you choose top advisors aligned with your financial goals.

check

portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

check

portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

check

investment consulting services to institutional clients

Investment consulting services to institutional clients

Fee Structure

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.

check

fixed fees

Set rates for specific services, regardless of time or assets managed.

check

commissions

Earned based on transactions or products sold.

check

percentage of assets

A percentage of the total value of assets under management is charged.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Lawrence Hau’s Registration & Firm History

NJ

09/30/2022 - Present

Wells Fargo Clearing Services, LLC (SUMMIT NJ)

NJ

01/23/2014 - 09/30/2022

J.P. MORGAN SECURITIES LLC (EAST HANOVER NJ)

NJ

04/15/2010 - 01/08/2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CHESTER NJ)

NJ

06/29/2005 - 04/28/2009

BANC OF AMERICA INVESTMENT SERVICES, INC. (CLIFTON NJ)

IL

01/25/2005 - 03/30/2005

CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)

IL

06/14/2004 - 12/31/2004

CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)

NY

08/01/2002 - 01/29/2003

HOLD BROTHERS ON-LINE INVESTMENT SERVICES L.L.C. (NEW YORK NY)

NJ

05/10/2002 - 08/01/2002

SKEFFINGTON SECURITIES, L.L.C. (JERSEY CITY NJ)

NE

09/18/1995 - 03/25/2002

TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)

NJ

07/25/1994 - 06/09/1995

RYAN, BECK & CO. (FLORHAM PARK NJ)

Not sure if Lawrence Hau is right for you?

Licenses & Designations

BOTH

Issued 05/24/2010

Series 66 - Uniform Combined State Law Examination

BC

Issued 04/27/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/14/1998

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/17/2002

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 07/22/1994

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

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

Disclosures

There are no public disclosures for Lawrence Hau.
Not sure if Lawrence Hau is right for you?