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RT

Raymond Tam

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CRD#: 2226397
RT
Raymond 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.

Raymond Tam was a registered financial professional .

Raymond is a previously registered financial professional and started their career in finance in 1992. Raymond had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

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.
Serves as a Manager of CITIC Securities International USA, LLC as of 05/28/2019 and CEO 10/21/2019. CLSA Americas Holdings, Inc CEO and President 5/30/2019 and Director as of 05/24/2019. CLSA Americas, LLC CEO as of April 2019. Property Owner in Raymond and Annabelle Irrevocable Trust, privately owned property rental for the summer at 271 Seven Ponds Towd, Watermill, NY, first affiliated Sept 1, 2001, 100% is owned, 20k compensation in the summer but not every summer (passive income), amount of time devoted to business is 5 hours per year, is the landlord of the property.

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

October 23, 2019 - October 4, 2022

CITIC SECURITIES INTERNATIONAL USA, LLC

BD
CRD#: 158266
New York, NY
Past

October 22, 2019 - October 23, 2019

CITIC SECURITIES INTERNATIONAL USA, LLC

BD
CRD#: 158266
New York, NY
Past

January 3, 2019 - October 4, 2022

CLSA AMERICAS, LLC

RIA
CRD#: 165533
NEW YORK, NY
Past

February 15, 2013 - October 4, 2022

CLSA AMERICAS, LLC

BD
CRD#: 165533
NEW YORK, NY
Past

September 12, 2006 - June 10, 2013

CREDIT AGRICOLE SECURITIES (USA) INC.

BD
CRD#: 190
NEW YORK, NY
Past

April 4, 2002 - July 11, 2006

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

July 2, 1999 - March 19, 2002

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

January 1, 1996 - July 20, 1999

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
NEW YORK CITY, NY
Past

July 29, 1992 - January 1, 1996

JAMES CAPEL INCORPORATED

BD
CRD#: 15390
Past

April 9, 1992 - July 8, 1992

D. H. BLAIR & CO., INC.

BD
CRD#: 6833
NEW YORK, NY

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
IAR
Series 66
Date: 12/11/2018
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 4/15/1992
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: 4/7/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/19/2010
General Securities Principal Examination

Current Firm

CS
CITIC SECURITIES INTERNATIONAL USA, LLC
CITIC SECURITIES INTERNATIONAL USA, LLC

CRD#: 158266 / SEC#: , 8-68887

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
1155 Avenue Of The Americas 17th Floor, New York, NY 10036
Mailing Address
1155 Avenue Of The Americas 17th Floor, New York, NY 10036
Phone number
(212) 549-4791
Established
Delaware since 05/18/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
CLSA AMERICAS HOLDINGS, INC.MEMBER/SHAREHOLDER
BILLET, CHRISTIAN LESLIECHIEF COMPLIANCE OFFICER2441597
HOLUB, WILLIAM CHARLESBOARD MEMBER, CHIEF FINANCIAL OFFICER - FINOP2680290
LI, JIONGBOARD MEMBER6798277
SCHWARTZ, BRADLEY HARRISCEO AND BOARD MEMBER2372237

Red Flags

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Company Information

CITIC SECURITIES INTERNATIONAL USA, LLC

CRD#: 158266

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