Lucrecia A. 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.
Lucrecia Alejandra Tam, who also goes by Tam Alexandra Elena Lucrecia, was a registered financial professional .
Lucrecia is a previously registered financial professional and started their career in finance in 1994. Lucrecia had worked at 6 firms and has passed the Series 63, Series 87, Series 86 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 1, 2010 - September 11, 2012
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
January 14, 2008 - April 19, 2010
NICHOLAS-APPLEGATE SECURITIES LLC
February 1, 2006 - June 19, 2007
DEUTSCHE BANK SECURITIES INC.
June 17, 2004 - January 30, 2006
DEUTSCHE IXE, LLC
September 11, 1995 - June 26, 1998
UBS SECURITIES LLC
June 20, 1994 - July 17, 1995
NOMURA SECURITIES INTERNATIONAL, 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
Exams
Current Firm
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
CRD#: 25567 / SEC#: , 8-41811
Contact information
FINRA licenses (2 States and Territories)
Documents
Disclosures
| Regulatory Event | 2 |
| Civil Event | 2 |
Red Flags
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