Ernest R. Lau

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CRD#: 1375170

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.

Ernest Remigio Lau, who also goes by Ernie R Lau, Ernie Lau, was a registered financial professional .

Ernest is a previously registered financial professional and started their career in finance in 1985. Ernest had worked at 8 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ernie R Lau | Ernie Lau

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 14, 2014 - April 2, 2020

BROOKSTONE CAPITAL MANAGEMENT LLC

RIA

CRD#: 141413

DURANGO, CO

Past

December 7, 2011 - January 20, 2014

REDHAWK WEALTH ADVISORS, INC.

RIA

CRD#: 146616

DURANGO, CO

Past

May 12, 2010 - September 23, 2011

R.W. TOWT & ASSOCIATES

CRD#: 128837

SAN DIEGO, CA

Past

December 21, 2007 - August 11, 2008

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

DURANGO, CO

Past

January 19, 1995 - December 31, 2005

TRANSAMERICA FINANCIAL ADVISORS, INC.

CRD#: 3600

LOS ANGELES, CA

Past

February 9, 1987 - January 10, 1995

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

June 19, 1985 - December 24, 1986

AMERICAN EXPRESS FINANCIAL CORPORATION

CRD#: 6320

Past

June 19, 1985 - January 15, 1987

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BROOKSTONE CAPITAL MANAGEMENT LLC

BROOKSTONE CAPITAL MANAGEMENT LLC | XL ADVISORS LLC

CRD#: 141413 / SEC#: 801-68010

RIA

Registered Investment Advisory firm - (6/20/2007 Approved)

Arizona

Registered Investment Advisory firm - (6/25/2007 Terminated)

Arkansas

Registered Investment Advisory firm - (7/3/2007 Terminated)

California

Registered Investment Advisory firm - (6/26/2007 Terminated)

Illinois

Registered Investment Advisory firm - (6/20/2007 Terminated)

Indiana

Registered Investment Advisory firm - (6/25/2007 Terminated)

Nevada

Registered Investment Advisory firm - (7/19/2007 Terminated)

Ohio

Registered Investment Advisory firm - (6/25/2007 Terminated)

Oklahoma

Registered Investment Advisory firm - (6/20/2007 Terminated)

Pennsylvania

Registered Investment Advisory firm - (6/27/2007 Terminated)

Tennessee

Registered Investment Advisory firm - (7/25/2007 Terminated)

Texas

Registered Investment Advisory firm - (6/25/2007 Terminated)

Virginia

Registered Investment Advisory firm - (7/6/2007 Terminated)

Washington

Registered Investment Advisory firm - (6/25/2007 Terminated)

Wisconsin

Registered Investment Advisory firm - (6/25/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/1/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/11/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/15/1985

General Securities Representative Examination

Current Firm

BROOKSTONE CAPITAL MANAGEMENT LLC

BROOKSTONE CAPITAL MANAGEMENT LLC | XL ADVISORS LLC

CRD#: 141413 / SEC#: 801-68010

RIA

Registered Investment Advisory firm - (6/20/2007 Approved)

Arizona

Registered Investment Advisory firm - (6/25/2007 Terminated)

Arkansas

Registered Investment Advisory firm - (7/3/2007 Terminated)

California

Registered Investment Advisory firm - (6/26/2007 Terminated)

Illinois

Registered Investment Advisory firm - (6/20/2007 Terminated)

Indiana

Registered Investment Advisory firm - (6/25/2007 Terminated)

Nevada

Registered Investment Advisory firm - (7/19/2007 Terminated)

Ohio

Registered Investment Advisory firm - (6/25/2007 Terminated)

Oklahoma

Registered Investment Advisory firm - (6/20/2007 Terminated)

Pennsylvania

Registered Investment Advisory firm - (6/27/2007 Terminated)

Tennessee

Registered Investment Advisory firm - (7/25/2007 Terminated)

Texas

Registered Investment Advisory firm - (6/25/2007 Terminated)

Virginia

Registered Investment Advisory firm - (7/6/2007 Terminated)

Washington

Registered Investment Advisory firm - (6/25/2007 Terminated)

Wisconsin

Registered Investment Advisory firm - (6/25/2007 Terminated)

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Contact information

Main Address

1745 S. Naperville Road Suite 200, Wheaton, IL 60189

Mailing Address

Phone number

(630) 653-1400

Established

Firm type

Fiscal year end

# of Employees

395

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BROOKSTONE CAPITAL MANAGEMENT, LLC - FORM ADV PART 2A, APPENDIX 1 - WRAP BROCHURE (7/30/2025)

BROOKSTONE CAPITAL MANAGEMENT, LLC - FORM ADV PART 2A (7/30/2025)

Regulatory assets under management

Total Number of Accounts	73,650
AUM (Assets Under Management)	$ 10,409,137,908

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.

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Firm Stability Insights

Ernest R. Lau

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

REDHAWK WEALTH ADVISORS, INC.

R.W. TOWT & ASSOCIATES

AMERITAS INVESTMENT COMPANY, LLC

TRANSAMERICA FINANCIAL ADVISORS, INC.

PRUCO SECURITIES, LLC.

AMERICAN EXPRESS FINANCIAL CORPORATION

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

BROOKSTONE CAPITAL MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/1/2011

Series 63

Date: 10/11/1990

Series 7

Date: 6/15/1985

Current Firm

BROOKSTONE CAPITAL MANAGEMENT LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BROOKSTONE CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

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