Dick Lam

LAM SECURITIES INVESTMENTS

San Francisco, CA

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CRD#: 300876

Professional summary

Dick Lam is a registered financial advisor currently at LAM SECURITIES INVESTMENTS, INC. located in San Francisco, California and NORTHWEST INVESTMENT ADVISORS, INC. located in San Francisco, California.

Dick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1968. Dick has worked at 5 firms and has passed the Series 63, Series 7TO, Series 99TO, SIE, Series 1, Series 14, Series 53, Series 24 and Series 40 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Mr. Lam is currently the President of Lam Securities a registered broker dealer and advisory firm. Mr. Lam is in the process of transitioning Lam Securities to an institutional only firm, thereby registering with Northwest Investment Advisors, Inc. to facilitate the care of his retail clients. Lam Securities is an investment related business, pursuing only institutional clientele. Mr. Lam became affiliated with Lam Securities in October of 1985. Monthly Mr. Lam devotes approximately 20 hours per month to Lam Securities. Most hours devoted to Lam Securities are not during trading hours. Current duties are mostly administrative and prospecting in nature.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dick Lam's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Dick 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

July 8, 1997 - Present

LAM SECURITIES INVESTMENTS, INC.

RIA

CRD#: 17037

San Francisco, CA

Current

May 20, 2016 - Present

NORTHWEST INVESTMENT ADVISORS, INC.

Office #1: 2099 Lake Street, San Francisco, CA 94121

RIA

CRD#: 109737

San Francisco, CA

Current

December 11, 2015 - Present

NORTHWEST INVESTMENT ADVISORS, INC.

RIA

CRD#: 109737

San Francisco, CA

Past

February 11, 1987 - July 21, 2022

LAM SECURITIES INVESTMENTS, INC.

CRD#: 17037

SAN FRANCISCO, CA

Past

October 10, 1983 - April 27, 1989

LEHMAN BROTHERS INC.

CRD#: 7506

Past

July 26, 1971 - October 10, 1983

DAVIS, SKAGGS & CO., INC.

CRD#: 208

Past

December 10, 1968 - June 27, 1971

MUTUAL FUND ASSOCIATES INCORPORATED

CRD#: 1000001

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

IAR

California
(7/8/1997)

California
(12/14/2015)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

NORTHWEST INVESTMENT ADVISORS, INC.

NORTHWEST INVESTMENT ADVISORS, INC | NORTHWEST INVESTMENT ADVISORS, INC.

CRD#: 109737 / SEC#: , 8-65282

California

Registered Investment Advisory firm - SEC (5/20/2016 Approved)

Georgia

Registered Investment Advisory firm - SEC (5/8/2014 Approved)

Montana

Registered Investment Advisory firm - SEC (10/16/2008 Approved)

Washington

Registered Investment Advisory firm - SEC (3/25/2003 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

9 S Washington St Ste 210 Suite 210, Spokane, WA 99201

Mailing Address

9 S Washington St Ste 210, Spokane, WA 99201

Phone number

(509) 252-4140

Established

Washington since 02/25/2000

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (13 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
GRUBB, SEAN MICHAEL	PRESIDENT/SECRETARY/CCO/CFO	4110305

Regulatory assets under management

Total Number of Accounts	95
AUM (Assets Under Management)	$ 35,259,644

Disclosures

Regulatory Event	1
Arbitration	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.

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Dick Lam

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dick Lam's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Dick Lam's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTHWEST INVESTMENT ADVISORS, INC.

NORTHWEST INVESTMENT ADVISORS, INC.

LAM SECURITIES INVESTMENTS, INC.

LEHMAN BROTHERS INC.

DAVIS, SKAGGS & CO., INC.

MUTUAL FUND ASSOCIATES INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 11/4/1986

Series 7TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 12/2/1968

Series 14

Date: 1/2/2023

Series 53

Date: 1/2/2023

Series 24

Date: 7/6/1998

Series 40

Date: 2/17/1977

FINRA

Current Firm

NORTHWEST INVESTMENT ADVISORS, INC.

Contact information

FINRA licenses (13 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

NORTHWEST INVESTMENT ADVISORS, INC.

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