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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Samuel? Claim Your ProfileSamuel Lau is a financial advisor at MML Investors Services, LLC. Samuel has been in the financial services industry since 2004. Samuel has passed the Series 7, Series 7TO, Series 66, and SIE exams. Samuel is registered with the state of California to provide investment advice. MML Investors Services, LLC is a financial services firm with a focus on providing financial planning, portfolio management, and pension 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.
Asset allocation programs
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.
A percentage of the total value of assets under management is charged.
Solicitors fees
1
2
CA
07/14/2023 - Present
MML Investors Services, LLC (Alhambra CA)
CA
09/16/2015 - 09/07/2017
MML INVESTORS SERVICES, LLC (ARCADIA CA)
CA
03/01/2010 - 06/01/2015
HSBC SECURITIES (USA) INC. (SAN GABRIEL CA)
CA
05/29/2007 - 02/19/2010
CITIGROUP GLOBAL MARKETS INC. (MONTEREY PARK CA)
CA
11/17/2005 - 05/29/2007
CITICORP INVESTMENT SERVICES (MONTEREY PARK CA)
MN
01/28/2004 - 06/17/2005
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
01/28/2004 - 06/17/2005
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BOTH
Issued 07/03/2023
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/31/2023
Series 7TO - General Securities Representative Examination
BC
Issued 04/27/2023
SIE - Securities Industry Essentials Examination
BC
Issued 01/27/2004
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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