Alvin T. Tam
Professional summary
Alvin T Tam is a registered financial professional currently at BTIG, LLC located in San Francisco, California.
Alvin is registered as a RR (Registered Representative) and started their career in finance in 1996. Alvin has worked at 3 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Alvin T Tam's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 7, 2021 - Present
BTIG, LLC
Office #1: 350 Bush Street 9th Floor, San Francisco, CA 94104August 21, 1998 - March 2, 2000
BANC OF AMERICA SECURITIES LLC
October 1, 1997 - October 20, 1997
BANC OF AMERICA SECURITIES LLC
November 11, 1996 - October 1, 1997
MONTGOMERY SECURITIES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/31/2022)
(10/15/2021)
(10/8/2021)
(10/7/2021)
(10/15/2021)
(10/15/2021)
(3/8/2023)
(2/25/2022)
(10/15/2021)
(10/15/2021)
(10/15/2021)
(10/15/2021)
Exams
Series 7TO
Date: 10/7/2021
General Securities Representative ExaminationCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
MEMX LLC
NYSE Arca, Inc.
Nasdaq ISE, LLC
Nasdaq Stock Market
Current Firm
BTIG, LLC
CRD#: 122225 / SEC#: , 8-65473
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
Red Flags
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