Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Horace? Claim Your ProfileHorace Lam is a registered investment advisor representative with Cetera Investment Advisers LLC. Horace has been in the industry since 2000 and holds a Series 7, Series 24, Series 63, and Series 66 license. Horace is a Business Relationship Officer for East West Bank. He has worked in the financial industry for over 20 years, with experience at Citigroup Global Markets Inc., CitiCorp Investment Services, and Fenb Securities, Inc. Horace is a financial advisor who provides financial planning, portfolio management, and educational seminars. He has experience working with a variety of clients, including high-net-worth individuals, corporations, and pension plans.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
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CA
04/17/2015 - Present
Cetera Investment Advisers LLC (ROWLAND HEIGHTS CA)
CA
06/21/2007 - 04/02/2014
CITIGROUP GLOBAL MARKETS INC. (CITY OF INDUSTRY CA)
NY
10/16/2003 - 04/22/2005
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
CA
07/18/2001 - 09/19/2003
FENB SECURITIES, INC. (INDUSTRY CA)
MN
11/24/2000 - 03/08/2001
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
11/24/2000 - 03/08/2001
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BC
Issued 6/15/2015
Series 63 - Uniform Securities Agent State Law Examination
BOTH
Issued 1/3/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 9/5/2002
Series 24 - General Securities Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/22/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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