Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Maddie? Claim Your ProfileMaddie Lau is a registered representative with Wells Fargo Clearing Services, LLC. Maddie has been in the securities industry for over five years. Maddie holds Series 6, 7, 63 and 66 licenses and is registered in 42 states and the District of Columbia. Maddie offers investment advisory services to both individual and institutional clients. Maddie is also a registered investment advisor in the state of California and Texas.
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
CA
10/14/2021 - Present
Wells Fargo Clearing Services, LLC (SAN FRANCISCO CA)
BOTH
Issued 12/12/2020
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/14/2017
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/14/2019
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/04/2017
Series 6 - Investment Company Products/Variable Contracts 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
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