Robert LauCRD Number: 1048404
Current Firm: Cambridge Investment Research Advisors, Inc.
Robert Lau (CRD# 1048404) is an Investment Advisor Representative working at Cambridge Investment Research Advisors, Inc. in Frisco, CO and has over 34 years of experience in the finance industry.
Zidel Financial Inc.
National Planning Corporation ("npc Of America" In Fl & Ny)
Rightpath Investments & Financial Planning, Inc.
|Cambridge Investment Research Advisors, Inc.||Fairfield, IA||Nov 2010 - Current||7|
|Cambridge Investment Research, Inc.||Fairfield, IA||Nov 2010 - Current||7|
|Linsco/private Ledger Corp.||Silverton, CO||Aug 1994 - Oct 2010||16|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Aug 1983|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Employer Dispute
Total Assets Under Management25,187MILLIONS
Total Number of Accounts152,412ACCOUNTS
Average Account Value$165,257
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Market timing services
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV