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Elias Dau

FIRST COMMAND ADVISORY SERVICES
Cary, NC 27513
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CRD#: 2976332
ED
Elias DauFIRST COMMAND ADVISORY SERVICES

Professional summary

Elias Dau, who also goes by Elias R. Dau, Elias Richard Dau, Elias R Dau, is a registered financial advisor currently at FIRST COMMAND ADVISORY SERVICES located in Cary, North Carolina and FIRST COMMAND BROKERAGE SERVICES, INC. located in Cary, North Carolina.

Elias is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Elias has worked at 11 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 3, Series 7, Series 6, Series 51, Series 10, Series 9 and Series 24 exams.

Aliases

Elias R. Dau | Elias Richard Dau | Elias R Dau

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.
Name of the other business: Author Whether the business is investment-related: No Address of the other business: Raleigh, NC 27615 Nature of the other business: Owner/Sole/Partner Your position, title, or relationship with the other business: Author The start date of your relationship: Jan 01, 2020 The approximate number of hours/month you devote to the other business: 1 to 5 The number of hours you devote to the other business during securities trading hours: None Briefly describe your duties relating to the other business: I wrote in published a book in 2020 for financial advisors and how to more efficiently run their practice. The title of the book is "Emotional Victories, Systematic Failures". It is sold on Amazon.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Elias Dau'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®
None

Experience

Current

August 3, 2026 - Present

FIRST COMMAND ADVISORY SERVICES

Office #1: 1903 N. Harrison Ave Suite 102, Cary, NC 27513
RIA
CRD#: 281958
Cary, NC
Current

July 29, 2026 - Present

FIRST COMMAND BROKERAGE SERVICES, INC.

Office #1: 1903 N. Harrison Ave Suite 102, Cary, NC 27513
BD
CRD#: 3641
Cary, NC
Past

May 29, 2025 - March 17, 2026

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
RALEIGH, NC
Past

May 29, 2025 - March 17, 2026

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
RALEIGH, NC
Past

December 20, 2021 - December 13, 2024

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
EL SEGUNDO, CA
Past

December 20, 2021 - December 13, 2024

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
EL SEGUNDO, CA
Past

March 26, 2019 - April 12, 2021

PRINCIPAL SECURITIES, INC.

RIA
CRD#: 1137
COSTA MESA, CA
Past

March 20, 2019 - April 12, 2021

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
COSTA MESA, CA
Past

February 17, 2009 - June 13, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
NEWPORT BEACH, CA
Past

February 17, 2009 - June 13, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEWPORT BEACH, CA
Past

February 5, 2009 - February 26, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
PARAMUS, NJ
Past

February 5, 2009 - February 26, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
PARAMUS, NJ
Past

July 29, 2004 - February 6, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
FORT LEE, NJ
Past

April 7, 2004 - February 6, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
FORT LEE, NJ
Past

March 20, 2003 - February 23, 2004

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

July 17, 2002 - September 6, 2002

AMERIPRISE ADVISOR SERVICES, INC.

BD
CRD#: 5979
DETROIT, MI
Past

June 22, 2001 - June 7, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

December 20, 2000 - April 10, 2001

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY
Past

December 2, 1997 - January 5, 2000

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039
NEW YORK, NY
Past

December 2, 1997 - March 14, 2000

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY

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".
FC
FIRST COMMAND ADVISORY SERVICES
FIRST COMMAND ADVISORY SERVICES

CRD#: 281958 / SEC#: 801-56942

RIA
Registered Investment Advisory firm - (7/28/2005 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.
RR
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

RR
North Carolina
(7/29/2026)
IAR
North Carolina
(8/3/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 7/6/2004
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/26/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/13/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 5/17/2010
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 12/21/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/1/1997
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 51
Date: 2/14/2020
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 12/17/2007
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 11/8/2007
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/26/2001
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FC
FIRST COMMAND ADVISORY SERVICES
FIRST COMMAND ADVISORY SERVICES

CRD#: 281958 / SEC#: 801-56942

RIA
Registered Investment Advisory firm - (7/28/2005 Approved)
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Contact information

Main Address
1 Firstcomm Plaza, Fort Worth, TX 76109
Mailing Address
Po Box 2387, Fort Worth, TX 76113-2387
Phone number
(817) 731-8621
Established
Firm type
Fiscal year end
# of Employees
1,787

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

DESCRIPTION OF SERVICES (12/26/2025)
WRAP PROGRAM BROCHURE (12/26/2025)

Regulatory assets under management

Total Number of Accounts113,591
AUM (Assets Under Management)$ 24,429,418,155

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.

Company Information

FIRST COMMAND ADVISORY SERVICES

CRD#: 281958Cary, NC 27513

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