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 Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Jose A Lau's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 10, 2024 - Present
BBVA GLOBAL WEALTH ADVISORS, INC.
Office #1: 1980 Post Oak Blvd Suite 100, Houston, TX 77056-3845December 1, 2023 - October 1, 2024
INSIGNEO ADVISORY SERVICES, LLC
December 1, 2023 - October 1, 2024
INSIGNEO SECURITIES, LLC
January 11, 2022 - November 30, 2023
PNC MANAGED ACCOUNT SOLUTIONS, INC.
September 17, 2021 - November 30, 2023
PNC WEALTH MANAGEMENT LLC
October 4, 2018 - December 31, 2021
PNC MANAGED ACCOUNT SOLUTIONS, INC.
August 6, 2018 - September 17, 2021
BBVA SECURITIES INC.
August 8, 2017 - July 19, 2018
ALTERNA SECURITIES, INC.
March 23, 2017 - August 7, 2017
VECTORGLOBAL WMG
December 17, 2009 - December 3, 2014
ALTERNA SECURITIES, INC.
November 2, 2006 - December 3, 2009
MONEX SECURITIES, INC.
Primary Firm SEC Registration
BBVA GLOBAL WEALTH ADVISORS, INC.
CRD#: 327326 / SEC#: 801-129582
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(10/16/2024)
(10/10/2024)
Exams
Series 55
Date: 12/10/2007
Limited Representative-Equity Trader ExamCurrent Firm
BBVA GLOBAL WEALTH ADVISORS, INC.
CRD#: 327326 / SEC#: 801-129582
Contact information
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 665 |
| AUM (Assets Under Management) | $ 1,208,850,630 |
Red Flags
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