Vanessa Y. Lau

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CRD#: 2959760

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.

Vanessa Yuen Yin Lau, CFP®, who also goes by Vanessa Yuen Lau, Vanessa Lau, was a registered financial professional .

Vanessa is a previously registered financial professional and started their career in finance in 1997. Vanessa had worked at 7 firms and has passed the Series 66, Series 99TO, SIE, Series 7, Series 6, Series 10 and Series 9 exams.

Aliases

Vanessa Yuen Lau | Vanessa 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®

CFP^®

Certified Financial Planner

Experience

Past

February 11, 2025 - November 14, 2025

CRESSET ASSET MANAGEMENT, LLC

RIA

CRD#: 288566

San Francisco, CA

Past

May 22, 2024 - January 12, 2025

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

San Francisco, CA

Past

September 29, 2023 - January 12, 2025

J.P. MORGAN SECURITIES LLC

CRD#: 79

San Francisco, CA

Past

August 5, 2015 - January 13, 2025

J.P. MORGAN PRIVATE WEALTH ADVISORS LLC

RIA

CRD#: 108559

San Francisco, CA

Past

August 5, 2015 - September 29, 2023

FIRST REPUBLIC SECURITIES COMPANY, LLC

CRD#: 105108

San Francisco, CA

Past

June 26, 2012 - July 20, 2015

MORGAN STANLEY

RIA

CRD#: 149777

SAN FRANCISCO, CA

Past

June 26, 2012 - July 20, 2015

MORGAN STANLEY

CRD#: 149777

SAN FRANCISCO, CA

Past

July 27, 2001 - July 2, 2012

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

SAN FRANCISCO, CA

Past

June 4, 2001 - July 2, 2012

CHARLES SCHWAB & CO., INC.

CRD#: 5393

SAN FRANCISCO, CA

Past

October 31, 1997 - March 23, 1999

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

CRD#: 332

SAN MATEO, CA

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".

CRESSET ASSET MANAGEMENT, LLC

CRD#: 288566 / SEC#: 801-110753

RIA

Registered Investment Advisory firm - (7/10/2017 Approved)

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 66

Date: 7/12/2001

Uniform Combined State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2025

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/14/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/30/1997

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 10

Date: 11/30/2004

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 11/22/2004

General Securities Sales Supervisor - Options Module Examination

Current Firm

CRESSET ASSET MANAGEMENT, LLC

CRD#: 288566 / SEC#: 801-110753

RIA

Registered Investment Advisory firm - (7/10/2017 Approved)

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Contact information

Main Address

444 W. Lake Street Suite 4700, Chicago, IL 60606

Mailing Address

Phone number

(312) 429-2400

Established

Firm type

Fiscal year end

# of Employees

468

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CRESSET ASSET MANAGEMENT, LLC FORM ADV2A ("DISCLOSURE BROCHURE") AND APPENDIX 1 ("WRAP FEE BROCHURE") (10/29/2025)

Regulatory assets under management

Total Number of Accounts	42,546
AUM (Assets Under Management)	$ 71,864,303,961

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/10/2025	Cover Page	Report
10/09/2024	Cover Page	Report
11/20/2023	Cover Page	Report
12/21/2022	Cover Page	Report

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

Vanessa Y. Lau

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN PRIVATE WEALTH ADVISORS LLC

FIRST REPUBLIC SECURITIES COMPANY, LLC

MORGAN STANLEY

MORGAN STANLEY

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

Primary Firm SEC Registration

CRESSET ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/12/2001

Series 99TO

Date: 1/2/2025

SIE

Date: 10/1/2018

Series 7

Date: 3/14/2001

Series 6

Date: 10/30/1997

Series 10

Date: 11/30/2004

Series 9

Date: 11/22/2004

Current Firm

CRESSET ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CRESSET ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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