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Detailed Report
CHUN PONG LAU
CHUN P LAU, CHUN PONG LAU, JACK LAU
CRD#: 6035812
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 155 LAKE AVENUE NORTH
SUITE 430
PASADENA, CA 91101
CETERA INVESTMENT SERVICES LLCCRD#: 15340 155 NORTH LAKE AVENUE
SUITE 430
PASADENA, CA 91101
Registration History
201220142016201820202022202420262 FIRMS2023 - Present (1 year)BCETERA INVESTMENT SERVICES LLC (CRD# 15340)2022 - 2022 (<1 year)BHSBC SECURITIES (USA) INC. (CRD# 19585)2015 - 2022 (6 years)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2012 - 2015 (2 years)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2012 - 2012 (<1 year)
License(s)

State Registrations

B
California 5/15/2023
IA
California 11/27/2023

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
155 LAKE AVENUE NORTH SUITE 430, PASADENA, CA 91101
Registered with this firm since 11/27/2023
B
CETERA INVESTMENT SERVICES LLC (CRD#:15340)
155 NORTH LAKE AVENUE SUITE 430, PASADENA, CA 91101
Hacienda Heights, CA
Registered with this firm since 5/15/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 06/01/2022 - 10/06/2022 CETERA INVESTMENT SERVICES LLC (CRD#:15340) SAN MARINO, CA
B
 08/14/2015 - 04/11/2022 HSBC SECURITIES (USA) INC. (CRD#:19585) BEVERLY HILLS, CA
B
 10/01/2012 - 07/29/2015 J.P. MORGAN SECURITIES LLC (CRD#:79) ALHAMBRA, CA
B
 04/02/2012 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) ALHAMBRA, CA
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.