Ivy Lau
STRATEGIC ADVISERS LLC | Vice President, Executive Planning Consultant
ESSEX FELLS, NJ
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CRD#: 5725529
Professional summary
Ivy Lau, CFP®, who also goes by York Lam IVy Lau, York Lam Ivy Lau, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Essex Fells, New Jersey and FIDELITY BROKERAGE SERVICES LLC located in Towson, Maryland.
Ivy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Ivy has worked at 8 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Biography
I believe the most crucial thing I do for my clients is to listen to them. The best plan in the world won't be implemented properly if I don't hear what my clients are saying and help them address their concerns and aspirations.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
York Lam Ivy Lau | York Lam Ivy 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.
CRS (Client Relationship Summary) - RIA
Click below to view Ivy 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®
Education
Stern School of Business
Master of Business Administration (MBA) - Finance
2017
Rutgers University
Bachelor of Science (BS) - Accounting
2012
Rutgers University
Bachelor of Science (BS) - Finance
2010
Experience
Current
March 31, 2025 - Present
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
ESSEX FELLS, NJ
Current
January 9, 2018 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 610 York Road, Towson, MD 21204BD
CRD#: 7784
Towson, MD
Past
July 13, 2018 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
ESSEX FELLS, NJ
Past
March 1, 2018 - July 13, 2018
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
MILLBURN, NJ
Past
November 28, 2017 - January 3, 2018
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
NEW YORK, NY
Past
November 27, 2017 - January 3, 2018
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
January 5, 2015 - October 30, 2017
GOLDMAN SACHS WEALTH SERVICES, L.P.
RIA
CRD#: 106693
PARSIPPANY, NJ
Past
December 16, 2014 - October 30, 2017
MERCER ALLIED COMPANY, L.P.
BD
CRD#: 37404
PARSIPPANY, NJ
Past
April 20, 2012 - June 11, 2014
ERNST & YOUNG INVESTMENT ADVISERS LLP
RIA
CRD#: 110921
SECAUCUS, NJ
Past
March 25, 2011 - March 27, 2012
SCOTTRADE, INC.
BD
CRD#: 8206
MANHATTAN, NY
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".
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(6/1/2018)
RR
Alaska(10/31/2019)
RR
Arizona(5/6/2022)
RR
Arkansas(8/8/2020)
RR
California(6/1/2018)
RR
Colorado(6/1/2018)
RR
Connecticut(4/8/2019)
RR
Delaware(9/18/2020)
RR
District of Columbia(8/8/2020)
RR
Florida(1/9/2018)
RR
Georgia(6/1/2018)
RR
Hawaii(9/18/2020)
RR
Idaho(6/1/2018)
RR
Illinois(6/1/2018)
RR
Indiana(10/31/2019)
RR
Kansas(6/1/2018)
RR
Kentucky(6/1/2018)
RR
Louisiana(9/18/2020)
RR
Maine(11/17/2020)
RR
Maryland(6/1/2018)
RR
Massachusetts(6/1/2018)
RR
Michigan(6/1/2018)
RR
Minnesota(6/1/2018)
RR
Missouri(6/1/2018)
RR
Nebraska(6/4/2021)
RR
Nevada(10/31/2019)
RR
New Hampshire(10/31/2019)
RR
New Jersey(1/9/2018)
IAR
New Jersey(3/31/2025)
RR
New York(1/9/2018)
RR
North Carolina(6/4/2018)
RR
North Dakota(2/12/2021)
RR
Ohio(6/4/2018)
RR
Oklahoma(8/8/2020)
RR
Oregon(4/9/2021)
RR
Pennsylvania(1/9/2018)
RR
Puerto Rico(8/8/2020)
RR
Rhode Island(10/31/2019)
RR
South Carolina(6/1/2018)
RR
Tennessee(6/1/2018)
RR
Texas(6/1/2018)
IAR
Texas(3/31/2025)
RR
Utah(6/4/2021)
RR
Vermont(10/31/2019)
RR
Virginia(6/1/2018)
RR
Washington(6/1/2018)
RR
Wisconsin(10/31/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange
Current Firm
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
155 Seaport Blvd, Boston, MA 02210-2698
Mailing Address
Phone number
(617) 563-7000
Established
Firm type
Fiscal year end
# of Employees
16,291
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
STRATEGIC ADVISERS LLC
Vice President, Executive Planning ConsultantCRD#: 104555Essex Fells, NJTRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
