John O. Lau

ROBERTSON STEPHENS

San Ramon, CA 94583

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CRD#: 2207128

Professional summary

John On-kwok Lau, CFP®, who also goes by John O Lau, John On Kwok Lau, John Onkwok Lau, is a registered financial advisor currently at ROBERTSON STEPHENS located in San Ramon, California and FORTUNE FINANCIAL SERVICES, INC. located in San Ramon, California.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. John has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John O Lau | John On Kwok Lau | John Onkwok 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.

1. FIAT(FINANCAIL APTITUDE TRAINING); 501-C-3 NON-PROFIT ORGANIZATION; NON INVESTMENT RELATED; 5% OF TIME SPENT; DIRECTOR 2. MR. LAU IS A INSURANCE AGENT

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John On-kwok Lau's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

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

CFP^®

Certified Financial Planner

Start date: 2000

Experience

Current

December 16, 2022 - Present

ROBERTSON STEPHENS

Office #1: 3223 Crow Canyon Road Suite 245, San Ramon, CA 94583

RIA

CRD#: 289977

San Ramon, CA

Current

June 24, 2016 - Present

FORTUNE FINANCIAL SERVICES, INC.

Office #1: 3223 Crow Canyon Road Suite 245, San Ramon, CA 94583Office #2: 1350 Bayshore Highway Suite 210, Burlingame, CA 94010

CRD#: 42150

San Ramon, CA

Past

May 3, 2011 - December 31, 2012

GIRARD SECURITIES, INC.

RIA

CRD#: 18697

BURLINGAME, CA

Past

May 3, 2011 - June 28, 2016

GIRARD SECURITIES, INC.

CRD#: 18697

BURLINGAME, CA

Past

December 7, 2010 - February 13, 2023

LFS WEALTH ADVISORS

RIA

CRD#: 154223

SAN RAMON, CA

Past

June 14, 2005 - May 4, 2011

NEXT FINANCIAL GROUP, INC.

RIA

CRD#: 46214

SAN MATEO, CA

Past

June 14, 2005 - May 4, 2011

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

SAN MATEO, CA

Past

March 1, 2004 - June 15, 2005

LPL FINANCIAL LLC

RIA

CRD#: 6413

SAN MATEO, CA

Past

March 1, 2004 - June 15, 2005

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

September 22, 1998 - March 30, 2004

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

SAN MATEO, CA

Past

May 14, 1998 - March 25, 2004

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

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".

ROBERTSON STEPHENS

ROBERTSON STEPHENS | ROBERTSON STEPHENS WEALTH MANAGEMENT, LLC

CRD#: 289977 / SEC#: 801-111814

RIA

Registered Investment Advisory firm - (10/11/2017 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(1/5/2023)

California
(6/24/2016)

IAR

California
(12/16/2022)

South Carolina
(6/24/2016)

Tennessee
(1/2/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/4/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/8/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/23/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/8/1998

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/27/2001

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ROBERTSON STEPHENS

ROBERTSON STEPHENS | ROBERTSON STEPHENS WEALTH MANAGEMENT, LLC

CRD#: 289977 / SEC#: 801-111814

RIA

Registered Investment Advisory firm - (10/11/2017 Approved)

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Contact information

Main Address

455 Market Street Ste. 1450, San Francisco, CA 94105-2442

Mailing Address

Phone number

(415) 500-6810

Established

Firm type

Fiscal year end

# of Employees

113

SEC notice filing (30 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ROBERTSON STEPHENS ADV PART 2A BROCHURE (6/30/2025)

Regulatory assets under management

Total Number of Accounts	7,419
AUM (Assets Under Management)	$ 7,139,384,497

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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John O. Lau

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John On-kwok Lau's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORTUNE FINANCIAL SERVICES, INC.

GIRARD SECURITIES, INC.

GIRARD SECURITIES, INC.

LFS WEALTH ADVISORS

NEXT FINANCIAL GROUP, INC.

NEXT FINANCIAL GROUP, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

ROBERTSON STEPHENS

State Registrations and Notice Filings

Exams

Series 65

Date: 9/4/1998

Series 63

Date: 5/8/1998

SIE

Date: 10/1/2018

Series 7

Date: 7/23/1998

Series 6

Date: 5/8/1998

Series 24

Date: 6/27/2001

FINRA

Current Firm

ROBERTSON STEPHENS

Contact information

SEC notice filing (30 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ROBERTSON STEPHENS

TRUST BUT VERIFY

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