Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathy? Claim Your ProfileKathy Lam is a registered representative with Citigroup Global Markets Inc. Kathy has over 10 years of experience in the financial services industry. Kathy holds Series 6, 7, 63 and 66 licenses. Kathy also holds a Series SIE license. Kathy specializes in providing asset allocation advice, financial planning, pension consulting, selection of other advisors, portfolio management for businesses and individuals, and publication of periodicals. Kathy is registered in Arizona, California, and Nevada. Kathy was previously employed with WELLS FARGO ADVISORS, LLC and BANC OF AMERICA INVESTMENT SERVICES, INC.
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.
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.
Asset allocation advice
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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2
CA
10/08/2020 - Present
Citigroup Global Markets Inc. (San Francisco CA)
CA
12/07/2012 - 10/31/2013
WELLS FARGO ADVISORS, LLC (SAN JOSE CA)
CA
09/16/2003 - 04/28/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (SAN JOSE CA)
BOTH
Issued 05/28/2020
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/17/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/10/2013
Series 7 - General Securities Representative Examination
BC
Issued 12/06/2012
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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