Katharine F. Lam
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.
Katharine Fen Lam, who also goes by Kate Lam, Katharine Lam, Phan Lam, Katharine Fen Phan, was a registered financial professional .
Katharine is a previously registered financial professional and started their career in finance in 1994. Katharine had worked at 5 firms and has passed the Series 63, Series 7TO, Series 99TO, SIE, Series 7 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 4, 2020 - October 14, 2021
JUSTLY MARKETS LLC
April 7, 2016 - September 11, 2018
PROPELLR SECURITIES LLC
October 23, 2012 - April 21, 2015
STANDARD CHARTERED SECURITIES NORTH AMERICA LLC
November 10, 1994 - October 23, 1995
LEHMAN GOVERNMENT SECURITIES INC.
November 10, 1994 - April 9, 1997
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 3/14/2024
General Securities Representative ExaminationSeries 99TO
Date: 3/14/2024
Operations Professional ExaminationCurrent Firm
JUSTLY MARKETS LLC
CRD#: 159572 / SEC#: , 8-69001
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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.
