Dick 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.
Dick Lam was a registered financial professional .
Dick is a previously registered financial professional and started their career in finance in 1968. Dick had 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
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 20, 2016 - December 31, 2025
NORTHWEST INVESTMENT ADVISORS, INC.
December 11, 2015 - January 7, 2026
NORTHWEST INVESTMENT ADVISORS, INC.
July 8, 1997 - December 31, 2025
LAM SECURITIES INVESTMENTS, INC.
February 11, 1987 - July 21, 2022
LAM SECURITIES INVESTMENTS, INC.
October 10, 1983 - April 27, 1989
LEHMAN BROTHERS INC.
July 26, 1971 - October 10, 1983
DAVIS, SKAGGS & CO., INC.
December 10, 1968 - June 27, 1971
MUTUAL FUND ASSOCIATES INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 1
Date: 12/2/1968
Registered Representative ExaminationSeries 40
Date: 2/17/1977
Registered Principal ExaminationCurrent Firm
NORTHWEST INVESTMENT ADVISORS, INC.
CRD#: 109737 / SEC#: , 8-65282
Contact information
FINRA licenses (13 States and Territories)
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.
