DL
David Lau
CONSOLIDATED PORTFOLIO REVIEW CORP
Santa Rosa, CA
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CRD#: 4567411
DL
Professional summary
David Lau, who also goes by David Lau, David V Luu, is a registered financial advisor currently at CONSOLIDATED PORTFOLIO REVIEW CORP located in Santa Rosa, California.
David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. David has worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David Lau | David V Luu
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.
1- Lau Wealth Management - DBA - at reported business location(s) - inv rel - start: 4/14/2021 - 160 hr/mth
CRS (Client Relationship Summary) - RIA
Click below to view David Lau's 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®
NoneExperience
Current
April 28, 2023 - Present
CONSOLIDATED PORTFOLIO REVIEW CORP
RIA
CRD#: 112694
Santa Rosa, CA
Past
April 14, 2021 - April 17, 2023
GLADSTONE WEALTH PARTNERS
RIA
CRD#: 250787
SANTA ROSA, CA
Past
June 1, 2009 - April 1, 2021
MORGAN STANLEY
RIA
CRD#: 149777
SANTA ROSA, CA
Past
June 1, 2009 - April 1, 2021
MORGAN STANLEY
BD
CRD#: 149777
SANTA ROSA, CA
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
SANTA ROSA, CA
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
SANTA ROSA, CA
Past
February 13, 2003 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
SANTA ROSA, CA
Past
September 5, 2002 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
SANTA ROSA, 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".
CP
CONSOLIDATED PORTFOLIO REVIEW CORP
3 DIMENSIONAL WEALTH ADVISORY | ZIRCON FINANCIAL PLANNING, LLC | VISPER WEALTH MANAGEMENT | VIRTUS WEALTH INC | VAUGHT WEALTH MANAGEMENT | SUMMIT ADVISORS NW | STREAMLINE ASSET MANAGEMENT, LLC | STRATEGIC WEALTH ENDEAVOR INC | STONEFIELD WEALTH MANAGEMENT | STOECKLEIN FINANCIAL SERVICES | STARR FINANCIAL SERVICES INC. | SEQUOIA WEALTH & RISK MANAGEMENT | SCOPO CAPITAL PLANNING | RED HORSE FINANCIAL GROUP | RANDALL WEALTH MANAGEMENT | PARAMOUNT FINANCIAL GROUP, LLC. | PACKARD ADVISORY SERVICES | NATIONAL ONE ADVISORS | MARTINSON STOLLER ADVISORS | LEGACY SOLUTIONS WEALTH MANAGEMENT LLC | HEWITT PLANNING SERVICES | HATTIG FINANCIAL COMPANY | GRANITE CANYON WEALTH | GOLDEN ELDRIDGE FINANCIAL LLC | FINANCIAL RESOURCES INC. | DELANCEY WEALTH MANAGEMENT | DALTON WEALTH GROUP | CONSOLIDATED PORTFOLIO REVIEW CORP | CHIAPPETTA FINANCIAL GROUP | CHAMBERLAIN GROUP | AMERICAN CAPITAL ADVISORS, LLC | ABRAMOVITZ WEALTH MANAGEMENT LLC | 3D WEALTH ADVISORY
CRD#: 112694 / SEC#: 801-38795
RIA
Registered Investment Advisory firm - (12/2/1991 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(4/28/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/21/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
CP
CONSOLIDATED PORTFOLIO REVIEW CORP
3 DIMENSIONAL WEALTH ADVISORY | ZIRCON FINANCIAL PLANNING, LLC | VISPER WEALTH MANAGEMENT | VIRTUS WEALTH INC | VAUGHT WEALTH MANAGEMENT | SUMMIT ADVISORS NW | STREAMLINE ASSET MANAGEMENT, LLC | STRATEGIC WEALTH ENDEAVOR INC | STONEFIELD WEALTH MANAGEMENT | STOECKLEIN FINANCIAL SERVICES | STARR FINANCIAL SERVICES INC. | SEQUOIA WEALTH & RISK MANAGEMENT | SCOPO CAPITAL PLANNING | RED HORSE FINANCIAL GROUP | RANDALL WEALTH MANAGEMENT | PARAMOUNT FINANCIAL GROUP, LLC. | PACKARD ADVISORY SERVICES | NATIONAL ONE ADVISORS | MARTINSON STOLLER ADVISORS | LEGACY SOLUTIONS WEALTH MANAGEMENT LLC | HEWITT PLANNING SERVICES | HATTIG FINANCIAL COMPANY | GRANITE CANYON WEALTH | GOLDEN ELDRIDGE FINANCIAL LLC | FINANCIAL RESOURCES INC. | DELANCEY WEALTH MANAGEMENT | DALTON WEALTH GROUP | CONSOLIDATED PORTFOLIO REVIEW CORP | CHIAPPETTA FINANCIAL GROUP | CHAMBERLAIN GROUP | AMERICAN CAPITAL ADVISORS, LLC | ABRAMOVITZ WEALTH MANAGEMENT LLC | 3D WEALTH ADVISORY
CRD#: 112694 / SEC#: 801-38795
RIA
Registered Investment Advisory firm - (12/2/1991 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
125 Froehlich Farm Blvd., Woodbury, NY 11797
Mailing Address
Phone number
(631) 845-5100
Established
Firm type
Fiscal year end
# of Employees
44
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,821 |
| AUM (Assets Under Management) | $ 1,294,955,167 |
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.
