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Wai sum sophie Tam

Blackrock Investments, LLC

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About Wai sum sophie Tam

Wai sum sophie Tam is a registered representative with Blackrock Investments, LLC. Wai sum sophie Tam has been in the securities industry for over 6 years. Wai sum sophie Tam is registered with the Financial Industry Regulatory Authority (FINRA) and holds the Series 63, Series 7 and SIE licenses. Wai sum sophie Tam is licensed in 53 states.

Firm Information

Wai sum sophie Tam is currently registered with Blackrock Investments, LLC. Blackrock Investments, LLC is a Limited Liability Company formed on October 21, 1994. The firm is registered with the Securities and Exchange Commission and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. Blackrock Investments has been involved in one regulatory event and one arbitration.

Not reported

Assets Under Management

Not reported

Total Clients

280

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Wai sum sophie Tam’s Registration & Firm History

NY

11/01/2016 - Present

Blackrock Investments, LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 12/07/2016

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/01/2016

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Wai sum sophie Tam.
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