Tommy S. Lau

LANES WEALTH MANAGEMENT LLC

IRVINE, CA 92612

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CRD#: 4995895

Professional summary

Tommy Sai Lau, CFP®, who also goes by Tommy Lau, is a registered financial advisor currently at LANES WEALTH MANAGEMENT LLC located in Irvine, California.

Tommy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Tommy has worked at 5 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tommy 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) - RIA

Click below to view Tommy Sai 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®

CFP^®

Certified Financial Planner

Start date: 2009

Experience

Current

January 17, 2018 - Present

LANES WEALTH MANAGEMENT LLC

Office #1: 2102 Business Center Drive Suite 130, Irvine, CA 92612

RIA

CRD#: 291381

IRVINE, CA

Past

January 9, 2018 - July 2, 2018

SECURITIES AMERICA, INC.

CRD#: 10205

ALISO VIEJO, CA

Past

September 16, 2008 - October 19, 2017

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

IRVINE, CA

Past

February 18, 2008 - October 19, 2017

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

IRVINE, CA

Past

October 14, 2005 - June 16, 2006

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

SANTA ANA, CA

Past

August 29, 2005 - June 16, 2006

MORGAN STANLEY DW INC.

CRD#: 7556

SANTA ANA, CA

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
(1/17/2018)

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: 9/9/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 7/2/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 9/16/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/26/2005

General Securities Representative Examination

Current Firm

LANES WEALTH MANAGEMENT LLC

CRD#: 291381 / SEC#:

California

Registered Investment Advisory firm - (1/17/2018 Approved)

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Contact information

Main Address

2102 Business Center Drive Suite 130, Irvine, CA 92612

Mailing Address

Phone number

(949) 436-8578

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	124
AUM (Assets Under Management)	$ 73,037,519

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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Firm Stability Insights

Tommy S. Lau

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tommy Sai Lau's CRS (Customer Relationship Summary).

Certified licenses

Experience

LANES WEALTH MANAGEMENT LLC

SECURITIES AMERICA, INC.

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/9/2005

SIE

Date: 7/2/2018

Series 31

Date: 9/16/2005

Series 7

Date: 8/26/2005

Current Firm

LANES WEALTH MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

LANES WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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