Elias Dau

Employer firm

First Command Advisory Services CRD 281958

$24.4B regulatory AUM 1,013 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)

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

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

Current Employers

Employment History

• 03/2019 → 12/2021
  Principal Life Insurance Company
  Costa Mesa, CA
• 03/2019 → 12/2021
  Principal Securities Inc
  Costa Mesa, CA
• 12/2021 → 12/2024
  Wells Fargo Clearing Services, Llc.
  El Segundo, CA
• 02/2009 → 03/2019
  Merrill Lynch
  Newport Beach, CA
• 05/2025 → 06/2026
  Ameriprise Financial Services, Llc
  Raleigh, NC
• 12/2024 → 05/2025
  Unemployed
  Ladera Ranch, CA
• 07/2026 → Present
  First Command Brokerage Services, Inc
  Fort Worth, TX
• 07/2026 → Present
  First Command Advisory Services, Inc
  Fort Worth, TX
• 07/2026 → Present
  First Command Insurance Services, Inc
  Fort Worth, TX

Previous Registrations

• 2025-05-29 → 2026-03-17
  Ameriprise Financial Services, Llc
  Raleigh, NC
  Raleigh, NC
  Raleigh, NC
• 2021-12-20 → 2024-12-13
  Wells Fargo Clearing Services, Llc
  El Segundo, CA
• 2019-03-26 → 2021-04-12
  Principal Securities, Inc.
  Irvine, CA
• 2009-02-17 → 2018-06-13
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Newport Beach, CA
  Newport Beach, CA
  Fort Lee, NJ
  Fort Lee, NJ
  Seal Beach, CA
• 2009-02-05 → 2009-02-26
  Citigroup Global Markets Inc.
  Paramus, NJ
• 2004-07-29 → 2009-02-06
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Fort Lee, NJ
  Paramus, NJ
  Paramus, NJ

Other Businesses

Name of the other business: Author Whether the business is investment-related: No Address of the other business: Raleigh, NC 27615 Nature of the other business: Owner/Sole/Partner Your position, title, or relationship with the other business: Author The start date of your relationship: Jan 01, 2020 The approximate number of hours/month you devote to the other business: 1 to 5 The number of hours you devote to the other business during securities trading hours: None Briefly describe your duties relating to the other business: I wrote in published a book in 2020 for financial advisors and how to more efficiently run their practice. The title of the book is "Emotional Victories, Systematic Failures". It is sold on Amazon.

Exams

• S65 Uniform Investment Adviser Law Examination
  2004-07-06
• S63 Uniform Securities Agent State Law Examination
  1997-11-26

Other Names

• Elias Richard Dau
• Elias R. Dau
• Elias R Dau