Eric Lau is a registered investment advisor at Hsbc Securities (USA) INC., based in Fremont, CA, with 14 years of industry experience. Eric operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 12,180 clients with $3.2B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $250K | 1.50% |
| $250K - $500K | 1.20% |
| $500K - $1.0M | 1.00% |
| $1.0M - $2.0M | 0.90% |
| $2.0M - $5.0M | 0.80% |
| $5.0M - $10.0M | 0.65% |
| $10M+ | 0.55% |
Fees are negotiable and discounts may be applied.
Fee Estimator
Location
39410 Fremont Boulevard, Fremont, CA, 94538-2117
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
Eric is affiliated with BMO Investment Services as a DBA for LPL business and with BMO Bank NA as a Market Leader and SVP. He dedicates full-time hours to these investment-related activities.
Employment History
Current Registrations
Hsbc Securities (USA) INC.
Hsbc Securities (USA) INC.Broker
Previous Registrations
LPL Financial LLCBroker
LPL Financial LLC
Bancwest Investment Services, INC. (bwis)
Bancwest Investment Services, INC.Broker
Prudential Financial Planning Services
Pruco Securities, LLC.Broker
Hornor, Townsend & Kent, INC.
Hornor, Townsend & Kent, INC.Broker
AXA Advisors, LLC
AXA Advisors, LLCBroker
Pruco Securities, LLC.Broker
Metlife Securities INC.
Metlife Securities INC.Broker
State Registrations1 state
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.