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Doris Lau
15 Years of Experience
Rowland Heights, CA
1 DisclosureBroker
Doris Lau is a registered investment advisor at Cetera Investment Advisers LLC, based in Rowland Heights, CA, with 15 years of industry experience. Doris operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10345 advisors
IM Fee
Planning only
Assets Under Management
$163.8B
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Location
18458 Colima Road, Rowland Heights, CA, 91748
Get directionsHistory
Regulatory History (1)
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Customer Dispute
February 2022Settled
Employment History
Current Registrations
Cetera Investment Advisers LLC
January 2014 - Present · 12 yrs 4 mos
Cetera Investment Services LLCBroker
January 2013 - Present · 13 yrs 4 mos
Previous Registrations
Cetera Investment Services LLC
January 2013 - January 2014 · 1 yr
Merrill Lynch, Pierce, Fenner & Smith Incorporated
November 2011 - November 2012 · 1 yr
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
September 2011 - November 2012 · 1 yr 2 mos
Hsbc Securities (USA) INC.Broker
June 2010 - August 2011 · 1 yr 2 mos
First Brokerage America, L.L.C.Broker
February 2010 - May 2010 · 3 mos
State Registrations9 states
CAFLMDNVNYTXWAWIWY
AdvisorBrokerBoth
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.
Exams
No exam information available for this advisor.