Raymond W. Lau

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CRD#: 1930190

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.

Raymond Wing Fai Lau, who also goes by Ray Lau, Raymond Wingfai Lau, was a registered financial advisor .

Raymond is a previously registered financial advisor and started their career in finance in 1989. Raymond had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ray Lau | Raymond Wingfai 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

May 10, 2013 - December 11, 2014

J. W. COLE ADVISORS, INC.

RIA

CRD#: 112294

TAMPA, FL

Past

May 10, 2013 - December 11, 2014

J.W. COLE FINANCIAL, INC.

CRD#: 124583

HONOLULU, HI

Past

March 15, 2010 - May 10, 2013

FINANCIAL ADVISERS OF AMERICA, LLC

RIA

CRD#: 142170

HONOLULU, HI

Past

December 4, 2009 - May 10, 2013

FINANCIAL ADVISERS OF AMERICA, LLC

CRD#: 142170

HONOLULU, HI

Past

September 17, 2007 - September 18, 2009

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

HONOLULU, HI

Past

September 17, 2007 - September 18, 2009

SECURITIES AMERICA, INC.

CRD#: 10205

HONOLULU, HI

Past

June 12, 2007 - September 27, 2007

CHARTER WEALTH MANAGEMENT, LLC

RIA

CRD#: 140772

HONOLULU, HI

Past

January 8, 2002 - September 18, 2007

OSAIC WEALTH, INC.

CRD#: 23131

HONOLULU, HI

Past

October 3, 1997 - January 8, 2002

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

October 16, 1989 - May 20, 1993

G. R. PHELPS & CO., INC.

CRD#: 173

Past

March 21, 1989 - July 3, 1989

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

March 21, 1989 - July 3, 1989

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

J. W. COLE ADVISORS, INC.

CRD#: 112294 / SEC#: 801-60722

RIA

Registered Investment Advisory firm - (11/23/2001 Approved)

Arizona

Registered Investment Advisory firm - (12/4/2001 Terminated)

Florida

Registered Investment Advisory firm - (12/5/2001 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: 6/4/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/2/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/11/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 10/2/1997

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7

Date: 3/18/1989

General Securities Representative Examination

Current Firm

J. W. COLE ADVISORS, INC.

CRD#: 112294 / SEC#: 801-60722

RIA

Registered Investment Advisory firm - (11/23/2001 Approved)

Arizona

Registered Investment Advisory firm - (12/4/2001 Terminated)

Florida

Registered Investment Advisory firm - (12/5/2001 Terminated)

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Contact information

Main Address

4301 Anchor Plaza Parkway Suite 450, Tampa, FL 33634

Mailing Address

Phone number

(813) 935-6776

Established

Firm type

Fiscal year end

# of Employees

512

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP FEE PROGRAM (3/28/2025)

JWCA 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	29,614
AUM (Assets Under Management)	$ 7,195,237,282

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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Advisor Monitoring

Firm Stability Insights

Raymond W. Lau

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

J.W. COLE FINANCIAL, INC.

FINANCIAL ADVISERS OF AMERICA, LLC

FINANCIAL ADVISERS OF AMERICA, LLC

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

CHARTER WEALTH MANAGEMENT, LLC

OSAIC WEALTH, INC.

WALNUT STREET SECURITIES, INC.

G. R. PHELPS & CO., INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

J. W. COLE ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/4/2007

Series 63

Date: 10/2/1997

SIE

Date: 12/11/2014

Series 6

Date: 10/2/1997

Series 7

Date: 3/18/1989

Current Firm

J. W. COLE ADVISORS, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

J. W. COLE ADVISORS, INC.

TRUST BUT VERIFY

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