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Patrick J. Yam

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CRD#: 1588353
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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.

Patrick Joseph Yam, who also goes by Patrick J Yam, was a registered financial professional .

Patrick is a previously registered financial professional and started their career in finance in 1986. Patrick had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Patrick J Yam

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 22, 2010 - September 18, 2024

SHORELINEAMBROSE ADVISORS, LLC

BD
CRD#: 141046
SAN DIEGO, CA
Past

December 21, 2007 - December 12, 2008

NEW ENGLAND SECURITIES

BD
CRD#: 615
FOSTER CITY, CA
Past

March 23, 2004 - December 31, 2005

SOURCE CAPITAL GROUP, INC.

BD
CRD#: 36719
WESTPORT, CT
Past

May 22, 2002 - June 17, 2002

QUANTUM PRIVATE ASSETS, LLC

BD
CRD#: 103965
SAN FRANCISCO, CA
Past

February 19, 1999 - December 22, 2000

UNISON CAPITAL GROUP

BD
CRD#: 22519
MOUNTAIN VIEW, CA
Past

April 14, 1997 - November 24, 1997

FPS BROKER SERVICES, INC.

BD
CRD#: 25065
KING OF PRUSSIA, PA
Past

August 5, 1994 - December 31, 1996

FPS BROKER SERVICES, INC.

BD
CRD#: 25065
KING OF PRUSSIA, PA
Past

December 18, 1991 - December 31, 1993

D.E. FREY & COMPANY, INC.

BD
CRD#: 23595
DENVER, CO
Past

September 25, 1990 - December 7, 1990

NORTHSTAR DISTRIBUTORS, INC.

BD
CRD#: 20863
Past

April 5, 1989 - December 7, 1990

NORTHSTAR DISTRIBUTORS, INC.

BD
CRD#: 20863
STAMFORD, CT
Past

December 23, 1986 - February 23, 1988

CITICORP SECURITIES, INC.

BD
CRD#: 7474

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/3/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/20/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/2/2023
General Securities Principal Examination

Current Firm

SA
SHORELINEAMBROSE ADVISORS, LLC
SHORELINEAMBROSE ADVISORS, LLC | SHP SECURITIES, LLC

CRD#: 141046 / SEC#: , 8-67357

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
6310 Greenwich Drive Suite 120, San Diego, CA 92122
Mailing Address
6310 Greenwich Drive Suite 120, San Diego, CA 92122
Phone number
(858) 587-9800
Established
California since 04/08/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
AMBROSE CAPITAL PARTNERS, LLCOWNER
SHORELINE PARTNERS, LLCOWNER
HARDEN, MICHAEL JAMESVICE PRESIDENT4256503
MALOTT, TIMOTHY GERALDPRESIDENT AND CEO, CCO & AMLCO5246927
THORNTON, STEVEN LEEFINOP4496384

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.

Company Information

SHORELINEAMBROSE ADVISORS, LLC

CRD#: 141046

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