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PL

Peter V. Lam

BALANCED SECURITY PLANNING
Newport Beach, CA 92660
Some features on this profile are disabled
CRD#: 2577814
PL

Professional summary

Peter Van Lam, who also goes by Hung Van Lam, is a registered financial professional currently at BALANCED SECURITY PLANNING, INC. located in Newport Beach, California.

Peter is registered as a RR (Registered Representative) and started their career in finance in 1995. Peter has worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 55, Series 24 and Series 8 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Hung Van Lam

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 Peter Van Lam'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

November 6, 2023 - Present

BALANCED SECURITY PLANNING, INC.

Office #1: 4701 Teller Avenue, Newport Beach, CA 92660Office #2: 4701 Teller Avenue, Newport Beach, CA 92660
BD
CRD#: 4038
Newport Beach, CA
Past

December 8, 2021 - May 9, 2023

SAXONY SECURITIES, INC.

BD
CRD#: 115547
Newport Beach, CA
Past

June 25, 2020 - November 17, 2021

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
Newport Beach, CA
Past

July 29, 2019 - August 15, 2019

B. RILEY WEALTH ADVISORS, INC.

RIA
CRD#: 115927
PASADENA, CA
Past

July 26, 2019 - August 15, 2019

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
BOCA RATON, FL
Past

January 9, 2018 - August 1, 2019

WEDBUSH SECURITIES INC.

RIA
CRD#: 877
LOS ANGELES, CA
Past

September 11, 2017 - August 1, 2019

WEDBUSH SECURITIES INC.

BD
CRD#: 877
LOS ANGELES, CA
Past

February 17, 2006 - October 30, 2009

MIDAS SECURITIES, LLC

BD
CRD#: 103680
BUENA PARK, CA
Past

August 16, 2005 - May 12, 2006

GONOW SECURITIES, INC.

BD
CRD#: 104020
LOS ANGELES, CA
Past

November 23, 2004 - August 19, 2005

GLOBAL-AMERICAN INVESTMENTS, INC.

BD
CRD#: 41802
WALNUT, CA
Past

November 11, 2003 - July 11, 2005

MIDAS SECURITIES, LLC

BD
CRD#: 103680
ANAHEIM, CA
Past

June 5, 1996 - November 11, 2002

TD AMERITRADE, INC.

BD
CRD#: 7870
OMAHA, NE
Past

March 13, 1996 - June 20, 1996

SUNAMERICA SECURITIES, INC.

BD
CRD#: 20068
PHOENIX, AZ
Past

December 8, 1995 - March 12, 1996

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
WINDSOR, CT
Past

March 14, 1995 - September 18, 1995

INTERFIRST CAPITAL CORPORATION

BD
CRD#: 7659
LOS ANGELES, 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
(11/6/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/2/2018
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 1/15/1996
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: 9/11/2017
General Securities Representative Examination
General Industry/Product Exam
RR
Series 55
Date: 3/11/2004
Limited Representative-Equity Trader Exam
Principal/Supervisory Exam
RR
Series 24
Date: 11/1/2022
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 4/22/1998
General Securities Sales Supervisor Examination (Options Module & General Module)
SRO Registrations
RR
FINRA

Current Firm

BS
BALANCED SECURITY PLANNING, INC.
BALANCED SECURITY PLANNING, INC.

CRD#: 4038 / SEC#: , 8-14842

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
4701 Teller Avenue, Newport Beach, CA 92660
Mailing Address
4701 Teller Avenue, Newport Beach, CA 92660
Phone number
(949) 404-2300
Established
Florida since 05/29/1969
Firm type
Corporation
Fiscal year end
May
Firm Size
Small
# of Employees

FINRA licenses (30 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#
LIBERTAS FINANCIAL, LLCOWNER
GOPIAO, GEORGE NICOLASCCO, CEO2113470
KIRSCHENBLATT, CHAD ETHANFINOP2503352

Disclosures

Regulatory Event2

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

BALANCED SECURITY PLANNING, INC.

CRD#: 4038Newport Beach, CA 92660

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