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Detailed Report
BENJAMIN CHIU-FUNG LAU
BENJAMIN C LAU
CRD#: 3171887
IA
Investment Adviser
APRIEM ADVISORSCRD#: 108188 19200 VON KARMAN AVENUE
SUITE 1050
IRVINE, CA 92612
Registration History
2002200420062008201020122014201620182020202220242026IAAPRIEM ADVISORS (CRD# 108188)2002 - Present (22 years)
Disclosure(s)
View By:
2/25/2002
Employment Separation After Allegations
10/29/2001
Customer Dispute
Settled
License(s)

State Registrations

IA
California 11/26/2002
Current Registration(s)
IA
APRIEM ADVISORS (CRD#:108188)
19200 VON KARMAN AVENUE SUITE 1050, IRVINE, CA 92612
Registered with this firm since 11/26/2002
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.