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AT

Adrienne K. Tam

BTIG
San Francisco, CA 94104
Some features on this profile are disabled
CRD#: 2222761
AT

Professional summary

Adrienne K Tam is a registered financial professional currently at BTIG, LLC located in San Francisco, California.

Adrienne is registered as a RR (Registered Representative) and started their career in finance in 1993. Adrienne has worked at 8 firms and has passed the Series 63, Series 79TO, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Adrienne K Tam's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

March 20, 2023 - Present

BTIG, LLC

Office #1: 350 Bush Street 9th Floor, San Francisco, CA 94104
BD
CRD#: 122225
San Francisco, CA
Past

January 17, 2012 - March 10, 2023

CITIZENS JMP SECURITIES, LLC

BD
CRD#: 22208
SAN FRANCISCO, CA
Past

March 9, 2010 - January 31, 2012

MERRIMAN CAPITAL, INC.

BD
CRD#: 18296
NEW YORK, NY
Past

September 23, 2008 - March 2, 2010

CITIZENS JMP SECURITIES, LLC

BD
CRD#: 22208
SAN FRANCISCO, CA
Past

May 7, 2007 - September 19, 2008

PACIFIC GROWTH EQUITIES, LLC

BD
CRD#: 24835
SAN FRANCISCO, CA
Past

September 17, 2003 - May 7, 2007

THOMAS WEISEL PARTNERS LLC

BD
CRD#: 46237
SAN FRANCISCO, CA
Past

May 5, 1999 - August 19, 2002

ROBERTSON STEPHENS, INC.

BD
CRD#: 41271
SAN FRANCISCO, CA
Past

August 18, 1994 - June 2, 1997

MONTGOMERY SECURITIES

BD
CRD#: 4357
SAN FRANCISCO, CA
Past

August 30, 1993 - July 8, 1994

SBCI SWISS BANK CORPORATION INVESTMENT BANKING INC.

BD
CRD#: 4341
NEW YORK, NY
Past

April 13, 1993 - September 1, 1993

MONTGOMERY SECURITIES

BD
CRD#: 4357
SAN FRANCISCO, CA

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(3/20/2023)
RR
Connecticut
(3/20/2023)
RR
Florida
(3/20/2023)
RR
Illinois
(3/20/2023)
RR
Massachusetts
(3/20/2023)
RR
New Jersey
(3/20/2023)
RR
New York
(3/20/2023)
RR
Pennsylvania
(3/20/2023)
RR
Texas
(3/20/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 8/6/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 10/23/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 4/12/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/30/2008
General Securities Principal Examination
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

BL
BTIG, LLC
BASS TRADING, LLC | BTIG, LLC | BTIG ELECTRONIC TRADING | BAYPOINT TRADING, LLC

CRD#: 122225 / SEC#: , 8-65473

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
350 Bush Street 9th Floor, San Francisco, CA 94104
Mailing Address
350 Bush Street 9th Floor, San Francisco, CA 94104
Phone number
(415) 248-2200
Established
Delaware since 06/05/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CONDOR TRADING LPMANAGER/MEMBER
CZEPIEL, KYLE ROBERTCHIEF OPERATING OFFICER2360785
ENDRES, BRIAN KENNETHCFO/FINOP/PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER2673131
HAMILTON, AUSTINCHIEF COMPLIANCE OFFICER2592315
LEROY, ANTON MAURICECHIEF EXECUTIVE OFFICER2862204

Disclosures

Regulatory Event11
Civil Event1

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

BTIG, LLC

CRD#: 122225San Francisco, CA 94104

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