Andy W. Lam
Professional summary
Andy Wing Lam is a registered financial advisor currently at CORPORATE INVESTMENTS GROUP, INC. located in Chicago, Illinois.
Andy is registered as a RR (Registered Representative) and started their career in finance in 1992. Andy has worked at 4 firms and has passed the Series 65, Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Andy Wing Lam's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 16, 1996 - Present
CORPORATE INVESTMENTS GROUP, INC.
Office #1: 238 W Cermak Road Suite 3a, Chicago, IL 60616May 30, 2002 - August 5, 2004
CORPORATE INVESTMENTS GROUP, INC.
September 23, 1993 - April 4, 1996
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
February 18, 1993 - September 27, 1993
MATHEWS, HOLMQUIST & ASSOCIATES, INC.
July 21, 1992 - February 18, 1993
CHATFIELD DEAN & CO., 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
(1/23/1996)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 4/20/2000
Limited Representative-Equity Trader ExamFINRA
Current Firm
CORPORATE INVESTMENTS GROUP, INC.
CRD#: 38690 / SEC#: , 8-48355
Contact information
FINRA licenses (2 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 2 |
Red Flags
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