Doris C. Lau
Professional summary
Doris C Lau, who also goes by Chung Yun Liu, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Rowland Heights, California and CETERA INVESTMENT SERVICES LLC located in Rowland Heights, California.
Doris is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Doris has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Doris C Lau's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 21, 2014 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 18458 Colima Road, Rowland Heights, CA 91748January 2, 2013 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 17530 E Colima Road, Rowland Heights, CA 91748Office #2: 18458 Colima Road, Rowland Heights, CA 91748Office #3: 1001 Fair Oaks Ave, South Pasadena, CA 91030Office #4: 18645 E Gale Ave #100, City Of Industry, CA 91748Office #5: 19756 East Colima Road, Rowland Heights, CA 91748Office #6: 1015 South Nogales St, Rowland Heights, CA 91748Office #7: 379 S Diamond Bar Blvd, Diamond Bar, CA 91765January 2, 2013 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
November 17, 2011 - November 30, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 15, 2011 - November 30, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 2, 2010 - August 19, 2011
HSBC SECURITIES (USA) INC.
February 25, 2010 - May 17, 2010
FIRST BROKERAGE AMERICA, L.L.C.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/2/2013)
(1/21/2014)
(4/25/2019)
(11/3/2015)
(7/26/2018)
(4/21/2022)
(10/20/2022)
(10/21/2022)
(9/17/2015)
(3/15/2022)
(5/2/2023)
Exams
FINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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