Samuel Lau
Samuel Lau is a registered investment advisor at MML Investors Services, LLC, based in Alhambra, CA, with 15 years of industry experience. Samuel operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Retirement Planning. Their firm serves 392,809 clients with $90B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
MML Investors Services manages investment menus for retirement plans and offers a managed account service for participants.
For the overall plan, MMLIS selects and monitors investment options. For participants using the managed account service, fees are charged quarterly, up to a maximum of 0.60% per year of the account value. MMLIS receives 0.10% of this fee, with the remainder going to Morningstar and the recordkeeper. The exact fees vary by recordkeeper and whether the service is a Qualified Default Investment Alternative.
Location
100 E Huntington Drive, Ste 100, Alhambra, CA, 91801
Get directionsHistory
Regulatory History (2)
Customer Dispute
April 2017Customer Dispute
October 2008Employment History
Current Registrations
MML Investors Services, LLC
MML Investors Services, LLCBroker
Previous Registrations
MML Investors Services, LLCBroker
Hsbc Securities (USA) INC.
Hsbc Securities (USA) INC.Broker
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
Citicorp Investment ServicesBroker
American Express Financial Advisors, INC.
American Express Financial Advisors INC.Broker
Ids Life Insurance CompanyBroker
State Registrations5 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.