Alden C. Lau
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.
Alden C L Lau, who also goes by Alden Che Lum Lau, was a registered financial professional .
Alden is a previously registered financial professional and started their career in finance in 1999. Alden had worked at 8 firms and has passed the Series 65, Series 66, Series 63, Series 6TO, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 14, 2025 - July 17, 2026
VOYA RETIREMENT ADVISORS, LLC
January 16, 2025 - July 17, 2026
VOYA FINANCIAL PARTNERS, LLC
October 19, 2023 - February 8, 2025
ONEAMERICA SECURITIES, INC.
October 19, 2023 - January 16, 2025
ONEAMERICA SECURITIES, INC.
September 10, 2021 - September 24, 2023
EMPOWER ADVISORY GROUP, LLC
September 10, 2021 - September 24, 2023
EMPOWER FINANCIAL SERVICES, INC.
November 23, 2020 - April 15, 2021
WADDELL & REED
September 22, 2020 - April 15, 2021
WADDELL & REED
September 19, 2017 - June 1, 2020
PENSIONMARK SECURITIES, LLC
August 17, 2006 - April 11, 2017
EMPOWER FINANCIAL SERVICES, INC.
November 24, 2005 - July 17, 2006
PRINCIPAL SECURITIES, INC.
August 26, 1999 - July 17, 2006
PRINCIPAL SECURITIES, INC.
Primary Firm SEC Registration
VOYA RETIREMENT ADVISORS, LLC
CRD#: 3989 / SEC#: 801-57963, 8-14495
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
VOYA RETIREMENT ADVISORS, LLC
CRD#: 3989 / SEC#: 801-57963, 8-14495
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 13,160 |
| AUM (Assets Under Management) | $ 30,885,140,490 |
Disclosures
| Regulatory Event | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/15/2026 | ||
| 10/18/2024 | ||
| 01/26/2024 | ||
| 01/27/2023 |
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.
