Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Phillip? Claim Your ProfilePhillip Lau is a financial advisor at LPL Financial LLC. Phillip has been in the financial industry for over 30 years and is registered with the state of California as an Investment Advisor Representative and in Texas as a resident Investment Advisor Representative. Phillip has been with LPL Financial since February 2018. Prior to that, Phillip worked at INVEST Financial Corporation. Phillip holds the Series 4, 7, 24, 42, 62, 63, and 65 licenses. Phillip specializes in providing financial planning, portfolio management, and consulting services.
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.
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.
Consulting and other non-discretionary advisory services
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
04/07/2021 - Present
LPL Financial LLC (VALENCIA CA)
CA
04/30/2007 - 02/14/2018
INVEST FINANCIAL CORPORATION (BURBANK CA)
CA
08/17/2005 - 04/30/2007
PFIC SECURITIES CORPORATION (BURBANK CA)
TX
04/26/2000 - 08/17/2005
FISERV INVESTOR SERVICES, INC. (HOUSTON TX)
CA
05/01/1998 - 08/27/1998
WM FINANCIAL SERVICES, INC. (IRVINE CA)
CA
03/21/1993 - 05/01/1998
GREAT WESTERN FINANCIAL SECURITIES CORPORATION (NORTHRIDGE CA)
NY
08/01/1991 - 03/11/1993
LIBERTY SECURITIES CORPORATION (PURCHASE NY)
NA
08/01/1990 - 08/01/1991
PAMCO SECURITIES AND INSURANCE SERVICES
CO
06/21/1990 - 09/06/1990
THE STUART-JAMES COMPANY, INCORPORATED (DENVER CO)
IA
Issued 03/17/2017
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/22/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/08/2020
Series 24 - General Securities Principal Examination
BC
Issued 08/16/2006
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 42 - Registered Options Representative Examination
BC
Issued 01/02/2023
Series 62 - Corporate Securities Limited Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/16/1990
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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