Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Caitlin? Claim Your ProfileCaitlin Lam is a registered investment advisor representative with MMA Securities LLC. Caitlin Lam has been in the financial industry for 5 years. Caitlin Lam has a Series 63, Series 65, and Series 6TO licenses and a SIE designation.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Advisory services to retirement plan participants
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
Based on assets under advisement or per capita
1
2
MN
01/02/2024 - Present
MMA Securities LLC (Minneapolis MN)
IA
Issued 12/30/2023
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/28/2019
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/16/2019
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 05/20/2019
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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