Ivy W. 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.
Ivy Waiwan Tam, who also goes by IVy W Tam, was a registered financial professional .
Ivy is a previously registered financial professional and started their career in finance in 1990. Ivy had worked at 8 firms and has passed the Series 65, Series 63, Series 55, Series 7, Series 4 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
March 8, 2004 - December 3, 2012
SH INVESTMENT & SECURITIES
August 21, 2002 - December 3, 2003
1ST DISCOUNT BROKERAGE, INC.
May 8, 2002 - August 21, 2002
ACUMENT SECURITIES, INC.
April 18, 2002 - March 8, 2004
WHITE PACIFIC SECURITIES, INC.
March 7, 1997 - April 26, 2002
NATIONAL CLEARING CORP.
December 13, 1993 - March 7, 1997
ROBERT THOMAS SECURITIES, INC
January 20, 1992 - December 22, 1993
ACUMENT SECURITIES, INC.
January 14, 1992 - January 22, 1992
LIGHT SECURITIES
May 22, 1991 - December 20, 1991
PRUDENTIAL EQUITY GROUP, LLC
May 22, 1990 - March 14, 1991
PRUDENTIAL EQUITY GROUP, LLC
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 55
Date: 9/15/2001
Limited Representative-Equity Trader ExamCurrent Firm
SH INVESTMENT & SECURITIES
CRD#: 123074 / SEC#: , 8-65562
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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