Albert T. Tam
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Albert Timho Tam, who also goes by Albert Tim Ho Tam, was a registered financial professional .
Albert is a previously registered financial professional and started their career in finance in 1981. Albert had worked at 8 firms and has passed the Series 63, Series 15, Series 5, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 28, 2003 - April 28, 2003
PACIFIC ON-LINE TRADING & SECURITIES, INC.
January 4, 1999 - December 31, 2002
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 9, 1997 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
November 26, 1990 - May 23, 1997
STIFEL, NICOLAUS & COMPANY, INCORPORATED
October 4, 1988 - November 8, 1990
HYER, BIKSON & HINSEN, INC.
August 12, 1985 - November 5, 1988
DREXEL BURNHAM LAMBERT INCORPORATED
May 19, 1982 - July 29, 1985
A. G. EDWARDS & SONS, INC.
December 11, 1981 - May 26, 1982
THOMSON MCKINNON SECURITIES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 15
Date: 9/19/1986
Foreign Currency Options ExaminationSeries 5
Date: 10/1/1985
Interest Rate Options ExaminationCurrent Firm
PACIFIC ON-LINE TRADING & SECURITIES, INC.
CRD#: 45737 / SEC#: , 8-51154
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MCADAMS, TIMOTHY ALAN | PRESIDENT, CEO, CFO, COO, CCO, SROP/CROP | 2877024 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
