Ellen
Lau

Independent Financial Group, LLC

CRD#4757064
Investment Advisor
in San Diego, CA
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About this Advisor

Ellen Lau is a certified financial planner working out of San Diego, California, who has been in the industry for 10 years. Lau is an employee of Independent Financial Group, LLC. Their career trajectory has included roles at Financial Network Investment Corporation, Cetera Advisor Networks LLC and Independent Financial Group. Lau holds Series 63 and Series 65 licenses, designating them as both a securities agent and an investment advisor representative, and is registered to advise clients in California and Texas. Independent Financial Group, LLC is a registered investment company headquartered in San Diego, California. The investment advisory business has offices in 364 locations and a total of 680 employees. It administers $3 billion in assets across its 11,983 customer accounts, placing it among the biggest investment advisory firms in the country by assets under management. The firm advises 20 charities and foundations. Of its 11,983 client accounts, just 5% are held by high-net-worth clients who have greater than $1 million in assets available to invest. Independent Financial Group, LLC provides a number of services, including financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients, pension consulting services and selection of other advisers. Financial management fees vary depending on the financial services provided. Fees billed by Independent Financial Group, LLC likely consist of any blend of asset-based, hourly, fixed and commission-based fees.

Certifications and Registrations

Series 63, Series 65, Certified Financial Planner

Years of Experience

10 years

Services Offered

Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients, Pension consulting services, Selection of other advisers

Fee Structure

Percentage of Assets, Hourly Charges, Fixed Fees, Commissions

Disclosures

No

Office Location

12671 High Bluff Dr Ste 200
San Diego, CA 92130

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Independent Financial Group, LLC Brokerage Details

Total Assets Under Management

$2,935,234,184

CA Average: $7,578,581,321
Total Number of Employees

673

CA Average: 43
Total Number of Accounts

15,620

CA Average: 3,727
Average Account Size

$187,915

CA Average: $2,033,427

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Investment Advisory Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses or institutional clients
  • Pension consulting services
  • Selection of other advisers

Ellen Lau Work History

Ellen has 10 years of experience.

2013 - 2013 (0 years)

Cetera Advisor Networks LLC

2013 - Present (6 years)

Independent Financial Group

2008 - 2012 (4 years)

Financial Network Investment Corporation

Disclosures

Ellen Lau has no disclosures.

Please visit their SEC profile for more details.

This content was compiled from the SEC and FINRA.

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