Unclaimed Profile

Benjamin C Lau

APRIEM ADVISORS·IRVINE, California

Series 7, Series 6623 years registeredAPRIEM ADVISORS

19200 VON KARMAN AVENUE, IRVINE, CA 92612CRD# 3171887Firm CRD# 108188

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Benjamin C Lau · IRVINE, CA

Registration

CRD #3171887 · APRIEM ADVISORS · 23 years registered

Brand Profile

Not yet started

Career History

APRIEM ADVISORS

Nov 2002 – present

Registrations & Exams

FINRA examinations passed

Series 7

Series 66

Registration record

First registered · November 26, 2002

Years registered · 23

Disclosure History

2002Employment Separation After Allegations

2001Customer Dispute·Settled

2 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

APRIEM ADVISORS

CRD 108188 · SEC 801-55371

AUM

$1.0B

Regulatory assets under management

Employees

2,467 client accounts

Services offered by APRIEM ADVISORS

Per Form ADV

Financial planning

Portfolio management (individuals)

Publication of periodicals/newsletters

Market timing services

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at APRIEM ADVISORS →

Introduction

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Frequently Asked Questions

What services does Benjamin C Lau offer?

Benjamin C Lau specializes in Financial Planning, Investment Management. Contact their office in IRVINE, California for a consultation.

What are Benjamin C Lau's credentials?

Benjamin C Lau is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Benjamin C Lau located?

Benjamin C Lau is based in IRVINE, California, working with APRIEM ADVISORS. Their office serves clients in the IRVINE metropolitan area and surrounding communities.

How does Benjamin C Lau charge for services?

Benjamin C Lau's firm is compensated through percentage of aum, subscription fees, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is APRIEM ADVISORS?

APRIEM ADVISORS has approximately 16 employees and manages $1.0B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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