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TL

Thach N. Lam

Some features on this profile are disabled
CRD#: 2890351
TL

Professional summary

Thach Ngoc Lam was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Thach is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Thach had worked at 4 firms, which includes GLOBALINK SECURITIES INC., WHITE PACIFIC SECURITIES INC., ACUMENT SECURITIES INC., CHATFIELD DEAN & CO. INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 3, 2000 - March 13, 2001

GLOBALINK SECURITIES, INC.

BD
CRD#: 29721
PASADENA, CA
Past

July 31, 2000 - September 14, 2000

WHITE PACIFIC SECURITIES, INC.

BD
CRD#: 42505
SAN FRANCISCO, CA
Past

October 15, 1998 - July 31, 2000

ACUMENT SECURITIES, INC.

BD
CRD#: 7661
SAN FRANCISCO, CA
Past

June 27, 1997 - October 8, 1998

CHATFIELD DEAN & CO., INC.

BD
CRD#: 14714
GREENWOOD VILLAGE, CO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/27/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 6/25/1997
General Securities Representative Examination

Current Firm

GS
GLOBALINK SECURITIES, INC.
GLOBALINK SECURITIES, INC. | PALM SPRINGS RETIREMENT INVESTMENTS CORPORATION

CRD#: 29721 / SEC#: , 8-44509

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

Main Address
3452 East Foothill Boulevard Suite 1040, Pasadena, CA 91107
Mailing Address
3452 East Foothill Boulevard Suite 1040, Pasadena, CA 91107
Phone number
(626) 964-5966
Established
California since 01/03/1992
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (28 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#
HU, PHILIP CHENGKUOEXECUTIVE VICE PRESIDENT2576527
LIAO, JUNHUAPRESIDENT /CEO, CCO, AND AMLCO4278425
TUNG, YVONNE YI-WENSECRETARY5202974
FAN, STEVENSVP, COMPLIANCE DIRECTOR4039972
LIOU, SHIOU-ING DIANESHAREHOLDER4436524
LU, YUANYUANVP, DIRECTOR OF MARKETING7602201
SHEN, LANSHAREHOLDERS4809719
TANG, YINGVP, DIRECTOR OF ACCOUNTING6135897
THORNTON, STEVEN LEEFINOP4496384
WANG, ZHUOLIVP, DIRECTOR OF OPERATION6296782

Disclosures

Regulatory Event3
Arbitration1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

GLOBALINK SECURITIES, INC.

CRD#: 29721

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