Alfred Au, financial advisor San Mateo CA
89 score

Alfred Au

CRD Number: 6213875
Current Firm: Dragon Financial Group

Alfred Au (CRD# 6213875) is an Investment Advisor Representative working at Dragon Financial Group in San Mateo, CA and has over 2 years of experience in the finance industry.

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Company Name Location Dates Years
Dragon Financial Group San Mateo, CA Feb 2013 - Current 3
Student Irvine, CA Jan 2004 - Feb 2013 9
Exam Code Name Passed Date
S65 NASAA Investment Advisors Law Examination Feb 2014
Contact Info for Alfred H. Au
Phone Number: 650-571-8888
Firm Website:
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
  • Total Number of Accounts
  • Average Account Value
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Pension consulting services
Types of Clients
Registered States


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Clean Record
This advisor has a clean track record with regulators.

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