Ernest Lau

Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

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

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

Current Employers

Employment History

• 07/2005 → 12/2021
  Wells Fargo Bank
  Union City/Oakland/Union City/Newark/Milpitas, CA
• 01/2011 → 11/2016
  Wells Fargo Advisors Llc
  Milpitas, CA
• 11/2016 → 12/2021
  Wells Fargo Clearing Services, Llc
  Milpitas, CA
• 01/2022 → 08/2025
  Fidelity Investments
  Dublin, CA
• 03/2025 → 08/2025
  Fidelity Investments
  Boston, MA
• 08/2025 → Present
  Wells Fargo Clearing Services, Llc
  San Jose, CA

Previous Registrations

• 2025-03-31 → 2025-08-14
  Strategic Advisers Llc
  Boston, MA
  Milpitas, CA
  Dublin, CA
• 2022-03-29 → 2025-03-31
  Fidelity Personal And Workplace Advisors
  Dublin, CA
• 2011-01-03 → 2022-01-19
  Wells Fargo Clearing Services, Llc
  Milpitas, CA
  Walnut Creek, CA
  Walnut Creek, CA
  Redwood City, CA
  Palo Alto, CA
  San Jose, CA
  San Jose, CA
  San Jose, CA
  San Jose, CA
• 2006-10-13 → 2011-01-03
  Wells Fargo Investments, Llc
  Union City, CA
  Oakland, CA
  Milpitas, CA
  Milpitas, CA
  Union City, CA
  Newark, CA

Exams

• S66 Uniform Combined State Law Examination
  2006-10-12

Other Names

• Ernest Borg Lau
• Ernest Borg Lau