Tsz Lau
Tsz Lau is a registered investment advisor at Citigroup Global Markets INC., based in Monterey Park, CA, with 11 years of industry experience. Tsz is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, High Net Worth, and 3 more. Their firm serves 59,829 clients with $56B in assets under management.
Compensation
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Citigroup Global Markets provides a comprehensive written financial plan at no direct fee to eligible clients of Citi Private Bank and Citi Global Wealth at Work. The service includes developing a financial profile, analyzing current financial position, and providing recommendations for education, retirement, estate planning, and other long-term goals.
Location
CWM Retail, Sales, 201 North Garfield Avenue, Monterey Park, CA, 91754
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Regulatory History (1)
Customer Dispute
July 2022Other Business Activities
Tsz is the 100% owner of a rental property and the owner of KDK1 LLC, which also owns rental properties.
Employment History
Current Registrations
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
Citigroup Global Markets INC.
Previous Registrations
Cetera Investment Services LLCBroker
Cetera Investment Advisers LLC
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
AXA Advisors, LLCBroker
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.
Exams
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