Robert F. Lau
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert Fred Lau, who also goes by Bob Lau, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1982. Robert had worked at 12 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 24, 2021 - August 31, 2022
MERCER GLOBAL ADVISORS INC.
August 1, 2017 - October 23, 2020
SUMMIT WEALTH ADVISORS, INC.
November 5, 2010 - August 15, 2017
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
November 5, 2010 - August 15, 2017
CAMBRIDGE INVESTMENT RESEARCH, INC.
October 21, 1994 - November 16, 2010
LPL FINANCIAL LLC
August 8, 1994 - November 16, 2010
LPL FINANCIAL LLC
June 21, 1993 - June 16, 1994
U.S. BANCORP INVESTMENTS, INC.
January 11, 1991 - June 29, 1993
COLORADO NATIONAL BROKERAGE, INC.
June 3, 1987 - January 1, 1991
CAPITAL BROKERAGE CORPORATION
April 25, 1986 - September 22, 1986
PAMCO SECURITIES AND INSURANCE SERVICES
July 3, 1985 - May 14, 1986
RCL SECURITIES CORPORATION
December 20, 1984 - June 25, 1985
CENTURY INVESTORS OF AMERICA, INC.
May 24, 1982 - December 21, 1984
CHESLEY AND DUNN, INC.
Primary Firm SEC Registration
MERCER GLOBAL ADVISORS INC.
CRD#: 147363 / SEC#: 801-69271
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MERCER GLOBAL ADVISORS INC.
CRD#: 147363 / SEC#: 801-69271
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 99,044 |
| AUM (Assets Under Management) | $ 60,256,270,580 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/29/2025 | ||
| 07/31/2024 | ||
| 09/28/2023 | ||
| 12/07/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
