Benjamin C. Lau

APRIEM ADVISORS

Irvine, CA 92612

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CRD#: 3171887

Professional summary

Benjamin Chiu-fung Lau, CFA, who also goes by Benjamin C Lau, is a registered financial advisor currently at APRIEM ADVISORS located in Irvine, California.

Benjamin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Benjamin has worked at 4 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Benjamin C 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.

BOARD OF DIRECTORS FOR THE CFA SOCIETY OF ORANGE COUNTY & CHAIRMAN OF THE INVESTMENT COMMITTEE, CFA-OC, STARTING 08/2014.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Chiu-fung 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®

CFA

Chartered Financial Analyst

Experience

Current

November 26, 2002 - Present

APRIEM ADVISORS

Office #1: 19200 Von Karman Avenue Suite 1050, Irvine, CA 92612

RIA

CRD#: 108188

Irvine, CA

Past

March 6, 2003 - November 19, 2009

DOLPHIN SECURITIES, INC.

CRD#: 10525

IRVINE, CA

Past

June 27, 2002 - March 3, 2003

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

FAIRFIELD, IA

Past

March 24, 1999 - March 25, 2002

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

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".

APRIEM ADVISORS

APRIEM ADVISORS | IWAMOTO, KONG & CO., INC. | IWAMOTO KONG WEALTH MANAGEMENT GROUP | IWAMOTO KONG & CO INC | IWAMOTO KONG

CRD#: 108188 / SEC#: 801-55371

RIA

Registered Investment Advisory firm - (3/20/1998 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.

Highlighted states indicate IAR registrations

IAR

California
(11/26/2002)

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: 5/15/1999

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 3/23/1999

General Securities Representative Examination

Current Firm

APRIEM ADVISORS

APRIEM ADVISORS | IWAMOTO, KONG & CO., INC. | IWAMOTO KONG WEALTH MANAGEMENT GROUP | IWAMOTO KONG & CO INC | IWAMOTO KONG

CRD#: 108188 / SEC#: 801-55371

RIA

Registered Investment Advisory firm - (3/20/1998 Approved)

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Contact information

Main Address

19200 Von Karman Avenue Suite 1050, Irvine, CA 92612

Mailing Address

Phone number

(949) 253-8888

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

APRIEM ADVISORS FORM ADV PART 2 (3/26/2025)

Regulatory assets under management

Total Number of Accounts	2,597
AUM (Assets Under Management)	$ 1,229,145,243

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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Benjamin C. Lau

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Chiu-fung Lau's CRS (Customer Relationship Summary).

Certified licenses

Experience

APRIEM ADVISORS

DOLPHIN SECURITIES, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

APRIEM ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 5/15/1999

Series 7

Date: 3/23/1999

Current Firm

APRIEM ADVISORS

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

APRIEM ADVISORS

TRUST BUT VERIFY

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