Martin Ho Wah Lau

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2016 → 01/2017
  Central Pacific Bank
  Honolulu, HI
• 01/2017 → 07/2018
  Cuso Financial Services
  San Diego, CA
• 07/2018 → 09/2019
  Cuna Brokerage Services, Inc.
  Waverly, IA
• 07/2018 → 09/2019
  Cuna Mutual Group
  Waverly, IA
• 09/2019 → 09/2022
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Honolulu, HI
• 11/2019 → 09/2022
  Bank Of America, N.A.
  Honolulu, HI
• 10/2022 → Present
  Lpl Financial
  Honolulu, HI

Previous Registrations

• 2019-10-07 → 2022-10-14
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Honolulu, HI
  New York, NY
• 2018-08-03 → 2019-10-02
  Cuna Brokerage Services, Inc.
  Waverly, IA
  Honolulu, HI
• 2017-01-26 → 2018-07-11
  Cuso Financial Services, L.P.
  Fort Shafter, HI
  Honolulu, HI
  San Diego, CA
  Honolulu, HI
• 2015-07-17 → 2015-10-28
  B. Riley Wealth Advisors, Inc.
  Irvine, CA
• 2015-04-20 → 2015-06-25
  Lpl Financial Llc
  Irvine, CA

Other Businesses

1- 10/2017 / Martin H. Lau, LLC / Business Entity For Tax/Investment Purposes Only / Non-Investment Related / Honolulu, HI 96822 2- 08/10/2023 - Lau Financial Consulting - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 08/10/2023 - 160 Hours Per Month/ 8 Hours During Trading 3- 08/16/2023 - Real Estate Rental - Honolulu, HI - Property Manager - Start Date 02/01/2017 - 8 Hours Per Month/ 0 Hours During Trading 4- 09/27/2023 - Lau Wealth Management - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 10/25/2023 - 160 Hours Per Month/ 8 Hours During Trading 5- 02/15/2024 - Tax Prep/Accounting/CPA - Investment Related - At Reported Business Location(s) - Start Date 02/01/2024 - 32 Hours Per Month/ 2 Hours During Trading

Exams

• S66 Uniform Combined State Law Examination
  2015-04-18
• S63 Uniform Securities Agent State Law Examination
  2006-10-03
• S65 Uniform Investment Adviser Law Examination
  2006-01-05

Other Names

• Hao Hua Liu
• Martin Howah Lau
• Marty Howah Lau
• Martin Ho Wah Lau
• Martin Lau