Alden C L Lau

Current Employers

Voya Retirement Advisors, Llc

One Orange Way, Windsor, CT 06095 • United States

Current Registrations

Authority	Category	Status	Date
HI	RA	APPROVED	2025-02-14

HI RA
APPROVED

Since 2025-02-14

Branch Locations

One Orange Way, Windsor, CT 06095 • United States

Honolulu, HI • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Pensionmark Securities, Llc	Santa Barbara	CA	09/2017	05/2020
Pensionmark Financial Group Dba Hogan Financial Group	Honolulu	HI	07/2017	05/2020
Capfinancial Securities, Llc	Honolulu	HI	07/2017	09/2017
Unemployed	Honolulu	HI	04/2017	06/2017
Mike Hogan	Honolulu	HI	09/2020	04/2021
Waddell & Reed, Inc.	Honolulu	HI	09/2020	04/2021
Various Insurance Carriers For W&R Insurance Agencies	Honolulu	HI	09/2020	04/2021
Hogan Financial Group Llc	Honolulu	HI	11/2020	04/2021
Gwfs Equities, Inc	Greenwood Village	CO	08/2021	09/2023
American United Life	Honolulu	HI	09/2023	01/2025
Oneamerica Securities	Honolulu	HI	10/2023	01/2025
Spectrum Pension Consultants	Honolulu	HI	06/2021	07/2021
Unemployed	Honolulu	HI	06/2020	08/2020
Voya Financial Partners, Llc	Honolulu	HI	01/2025	Present
Koko Head Avenue Rental Partnership	Honolulu	HI	01/2025	Present
Gwfs Equities Inc/Great-West Life & Ann Ins Co	Emeryville	CA	07/2006	04/2017
Voya	Honolulu	HI	01/2025	Present
Captain Drive Rental Partnership	Emeryville	CA	01/2025	Present

09/2017 → 05/2020

Pensionmark Securities, Llc

Santa Barbara, CA
07/2017 → 05/2020

Pensionmark Financial Group Dba Hogan Financial Group

Honolulu, HI
07/2017 → 09/2017

Capfinancial Securities, Llc

Honolulu, HI
04/2017 → 06/2017

Unemployed

Honolulu, HI
09/2020 → 04/2021

Mike Hogan

Honolulu, HI
09/2020 → 04/2021

Waddell & Reed, Inc.

Honolulu, HI
09/2020 → 04/2021

Various Insurance Carriers For W&R Insurance Agencies

Honolulu, HI
11/2020 → 04/2021

Hogan Financial Group Llc

Honolulu, HI
08/2021 → 09/2023

Gwfs Equities, Inc

Greenwood Village, CO
09/2023 → 01/2025

American United Life

Honolulu, HI
10/2023 → 01/2025

Oneamerica Securities

Honolulu, HI
06/2021 → 07/2021

Spectrum Pension Consultants

Honolulu, HI
06/2020 → 08/2020

Unemployed

Honolulu, HI
01/2025 → Present

Voya Financial Partners, Llc

Honolulu, HI
01/2025 → Present

Koko Head Avenue Rental Partnership

Honolulu, HI
07/2006 → 04/2017

Gwfs Equities Inc/Great-West Life & Ann Ins Co

Emeryville, CA
01/2025 → Present

Voya

Honolulu, HI
01/2025 → Present

Captain Drive Rental Partnership

Emeryville, CA

Previous Registrations

2023-10-19 → 2025-02-08

Oneamerica Securities, Inc.

Honolulu, HI

Indianapolis, IN
2021-09-10 → 2023-09-24

Empower Advisory Group, Llc

Honolulu, HI

Greenwood Village, CO
2020-11-23 → 2021-04-15

Waddell & Reed

Las Vegas, NV

Honolulu, HI
2005-11-24 → 2006-07-17

Principal Securities, Inc.

Larkspur, CA

San Rafael, CA

Other Businesses

Captain Drive Rental Partnership; Not investment related; Emeryville, CA 94608; Rental Unit; Proprietor; 01/01/2025 ; 1 hour per month; 0 hours per month during trading hours; Rental unit co owned with sister. Koko Head Avenue Rental Partnership; Not investment related; Honolulu, HI 96816; Rental Unit; Proprietor; 01/01/2025 ; 1 hour per month; 0 hours per month during trading hours; Rental unit co owned with sister.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2020-11-23
S66	Uniform Combined State Law Examination	2005-11-23
S63	Uniform Securities Agent State Law Examination	1999-09-21

S65 Uniform Investment Adviser Law Examination

2020-11-23
S66 Uniform Combined State Law Examination

2005-11-23
S63 Uniform Securities Agent State Law Examination

1999-09-21

Other Names

Alden Che Lum Lau

View on SEC IAPD