Raymond Lau, financial advisor San Mateo CA
83 score

Raymond Lau

CRD Number: 1974191
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

Raymond Lau (CRD# 1974191) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in San Mateo, CA and has over 27 years of experience in the finance industry.

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Company Name Location Dates Years
Bank Of America, N.a. San Mateo, CA Mar 2013 - Current 3
Merrill Lynch, Pierce, Fenner & Smith Incorporated San Mateo, CA Apr 2012 - Current 4
Morgan Stanley Smith Barney San Francisco, CA Jun 2009 - Apr 2012 2
Citigroup Global Markets Inc. San Francisco, CA Mar 1992 - Jun 2009 17
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Aug 1989
Disclosure Information

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:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Raymond Lau
Phone Number: 800-637-7455
Registered State(s):
  • CA
  • TX
By the Numbers
  • Total Assets Under Management
    575,342
    MILLIONS
  • Total Number of Accounts
    1,715,259
    ACCOUNTS
  • Average Account Value
    $335,425
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
83

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