Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Todd? Claim Your ProfileTodd Oliver Au is a financial advisor with over 20 years of experience in the industry. Todd Au is currently registered with Morgan Stanley and has been with the firm since 2009. Todd Au has also worked with Citigroup Global Markets Inc., Wachovia Securities, LLC, Morgan Stanley DW Inc. and PRUCO Securities Corporation. Todd Au holds a Series 7, Series 31 and Series 66 license. Todd Au is currently registered in Arizona, California, Colorado, Connecticut, Delaware, Florida, Georgia, Idaho, Illinois, Kentucky, Maine, Massachusetts, Michigan, Montana, Nevada, New Hampshire, New York, North Carolina, Ohio, Oregon, Tennessee, Texas, Utah, Virginia, 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.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
02/24/2020 - Present
Morgan Stanley (Santa Rosa CA)
CA
04/20/2007 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (SANTA ROSA CA)
CA
06/13/2001 - 04/24/2007
WACHOVIA SECURITIES, LLC (SANTA ROSA CA)
NY
11/29/2000 - 06/04/2001
MORGAN STANLEY DW INC. (PURCHASE NY)
NJ
10/10/2000 - 11/02/2000
PRUCO SECURITIES CORPORATION (NEWARK NJ)
BOTH
Issued 10/23/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/15/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 10/09/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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