Phillip Lau is a registered investment advisor at LPL Financial LLC, based in Valencia, CA, with 34 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
27918 Franklin Pkway, Valencia, CA, 91355
Get directionsHistory
Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Phillip works as an Operations Specialist/Client Services at Logix Federal Credit Union, dedicating nearly full-time hours to this role. He also operates Logix Financial Services as a DBA for his LPL business.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Invest Financial Corporation
Invest Financial CorporationBroker
Pfic Securities CorporationBroker
Fiserv Investor Services, INC.Broker
Wm Financial Services, INC.Broker
Great Western Financial Securities CorporationBroker
Liberty Securities CorporationBroker
Pamco Securities and Insurance ServicesBroker
The Stuart-James Company, IncorporatedBroker
State Registrations43 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.