Jose A Lau
Professional Summary
Jose A Lau, who also goes by Jose Antonio Lau, Jose Lau, Jose A Lau Valdivia, is a registered financial advisor currently at BBVA GLOBAL WEALTH ADVISORS, INC. located in Houston, Texas. Jose is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Jose has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 55, Series 7, Series 24, Series 4 and...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Jose Antonio Lau, Jose Lau, Jose A Lau Valdivia
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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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Years of Experience
20 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
BBVA GLOBAL WEALTH ADVISORS, INC.
Contact Information
Main Address
501 Brickell Key Drive Suite 601, Miami, FL 33131Phone Number
(305) 205-7752# of Employees
84SEC notice filing (5 States and Territories)
Registered to provide investment advisory services in 5 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
792AUM (Assets Under Management)
$1,364,604,282Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
BBVA GLOBAL WEALTH ADVISORS, INC.
State Registrations and Notice Filings
(10/16/2024)
(10/10/2024)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Dec 2007Similar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Jose A Lau's CRS (Customer Relationship Summary).
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