John Van Lau
Professional Summary
John Van Lau was a registered financial advisor. John was a previously registered financial professional and started their career in finance 1993 - 1998. John had worked at 5 firms and has passed the Series 63 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Contact Information
No current employment
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Years of Experience
33 years in the financial services industry
Current & Past Employments
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Current Firm
CAL FED INVESTMENTS | FN INVESTMENT CENTER
Contact Information
Established
California since 08/15/1986Firm Type
CorporationFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITIBANK (WEST) FSB | DIRECT OWNER | — |
| AVILA, STEVEN | ASSISTANT SECRETARY | — |
| BENNETT, DAVID, W | FIRST VICE PRESIDENT & RISK MANAGEMENT OFFICER | — |
| BERNOT, DEBORAH CHRISTINE | PRESIDENT (DIRECTOR) | 874079 |
| BRENNAN, EDWARD MICHAEL | FIRST VP | 1191425 |
| DANIELS, DONNA ROSS | DIRECTOR | 2457651 |
| DIAMOND, KIMBERLEY SUE | FIRST VP | 874757 |
| DOYLE, CHRYSTINE HARRIET | FIRST VP | 835739 |
| ELLER, JAMES ROBERT JR | SENIOR VP/CORPORATE SECRETARY | — |
| FRONTIERO, PETER STEVEN | SENIOR VICE PRESIDENT | 1086141 |
| GIANATASIO, PATRICIA LOUISE | VP | 1136139 |
| GODBEY, MARSHALL RAY | FIRST VICE PRESIDENT | — |
| HOAGLIN, MARK EDWARD | 1ST VP | 2699114 |
| JAMAL, MALIA LITTLE | 1ST VP | 1681671 |
| LANZNER, EDWARD HENRY | FIRST VICE PRESIDENT | 1327170 |
| LASALLE, JOHN FRANCIS | SENIOR VP | 1044909 |
| MAGUIRE, WILLIAM JOHN JR | DIRECTOR | 2040885 |
| MOON, CAROLYN ELIZABETH | FIRST VP | 1395727 |
| PERRELLA, VICTOR ANTHONY JR | SENIOR VICE PRESIDENT | — |
| POOLE, ANNETTE SUE | VICE PRESIDENT | 2397264 |
| RICE, PETER ANTHONY | VP AND CHIEF FINANCIAL OFFICER | 1218517 |
| SANSOUCI, MICHA RENEE | 1ST VP | 2172834 |
| SPRENGER, STUART ANDREW | 1ST VICE PRESIDENT | 2142881 |
| TRAVALE, SALVATORE SAM | FIRST VP | 1114661 |
| TUCEI, RENEE N | EXECUTIVE VP AND TREASURER | 2585150 |
| VALESTRINO, GARY STEVEN | VP | 1174325 |
| WINCHEL, TANYA | VICE PRESIDENT | — |
Disclosures
Regulatory Event
1Arbitration
1Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
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.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
