Theresa Lau
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Theresa Lau was a registered financial professional .
Theresa is a previously registered financial professional and started their career in finance in 2014. Theresa had worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.
Biography
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Education
San Francisco State University
Bachelor of Science (BS) - Criminal Justice
2017
Experience
July 28, 2022 - December 6, 2023
FIDELITY PERSONAL AND WORKPLACE ADVISORS
July 22, 2022 - December 1, 2023
FIDELITY BROKERAGE SERVICES LLC
August 3, 2020 - January 22, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 15, 2020 - January 22, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 2, 2016 - July 12, 2018
U.S. BANCORP INVESTMENTS, INC.
November 3, 2015 - July 19, 2016
J.P. MORGAN SECURITIES LLC
June 4, 2014 - June 4, 2015
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 6/30/2020
General Securities Representative ExaminationCurrent Firm
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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
FIDELITY PERSONAL AND WORKPLACE ADVISORS
Investment ConsultantCRD#: 288590TRUST BUT VERIFY
Monitor Theresa Lau
Get automatic monthly alerts on:
