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TL

Tommy S. Lau

LANES WEALTH MANAGEMENT
IRVINE, CA 92612
Some features on this profile are disabled
CRD#: 4995895
TL

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.

BD
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

BD
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.

BD
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)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/9/2005
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/2/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 9/16/2005
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 8/26/2005
General Securities Representative Examination

Current Firm

LW
LANES WEALTH MANAGEMENT LLC
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
2

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts124
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.

Company Information

LANES WEALTH MANAGEMENT LLC

CRD#: 291381Irvine, CA 92612

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