Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames T Lam is an active registered investment advisor with over 23 years of experience in the financial services industry. James has a broad range of experience with Osaic Wealth, Inc., Triad Advisors LLC, Securities America, Inc., Woodbury Financial Services, Inc., FSC Securities Corporation, Sagepoint Financial, Inc., VALIC Financial Advisors, Inc., E*TRADE Clearing LLC and E*TRADE Securities LLC. James is also a registered representative with Osaic Wealth, Inc. in the states of California and Georgia. James is a Registered Principal in Georgia. James holds Series 63, 66, 24, 62, SIE and 7 licenses.
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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AZ
11/03/2023 - Present
Osaic Wealth, Inc. (SCOTTSDALE AZ)
GA
04/22/2021 - 08/23/2024
TRIAD ADVISORS LLC (ATLANTA GA)
NE
04/22/2021 - 06/14/2024
SECURITIES AMERICA, INC. (LAVISTA NE)
MN
10/16/2014 - 01/19/2024
WOODBURY FINANCIAL SERVICES, INC. (OAKDALE MN)
GA
06/15/2004 - 11/03/2023
FSC SECURITIES CORPORATION (ATLANTA GA)
AZ
02/22/2011 - 09/01/2023
SAGEPOINT FINANCIAL, INC. (SCOTTSDALE AZ)
TX
12/16/2015 - 03/10/2016
VALIC FINANCIAL ADVISORS, INC. (HOUSTON TX)
NJ
09/03/2002 - 07/07/2003
E*TRADE CLEARING LLC (JERSEY CITY NJ)
NJ
04/28/1999 - 09/03/2002
E*TRADE SECURITIES LLC (JERSEY CITY NJ)
BOTH
Issued 11/11/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/06/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/07/2004
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 62 - Corporate Securities Limited Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/27/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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