DL
Dale S. Lam
STRATEGENT FINANCIAL
HARRISONBURG, VA 22801
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CRD#: 3265572
DL
Professional summary
Dale Scott Lam, CFP® is a registered financial advisor currently at STRATEGENT FINANCIAL, LLC located in Harrisonburg, Virginia.
Dale is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Dale has worked at 1 firm and has passed the Series 65 exam.
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.
Dale S. Lam, through the Dale S. Lam Revocable Trust, is a member of Lam Development, LC, a real estate limited liability company that owns a commercial office building in Harrisonburg, Virginia. The property is rented to tenants, including Strategent Financial, LLC. Mr. Lam's duties include occasional correspondence with tenants, communication with vendors that assist in the maintenance of the building, and submission of accounting records to a tax professional for income tax preparation. This is not an investment related business and Mr. Lam has owned his interest in this entity since 1994. This activity consumes approximately 1 hour of Mr. Lam's time per month, generally during normal trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Dale Scott Lam's 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®
CFP®
Start date: 2012
Experience
Current
September 10, 2008 - Present
STRATEGENT FINANCIAL, LLC
Office #1: 185 Neff Avenue, Suite 102, Harrisonburg, VA 22801RIA
CRD#: 148173
HARRISONBURG, VA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
STRATEGENT FINANCIAL, LLC
STRATEGENT FINANCIAL | STRATEGENT FINANCIAL, LLC
CRD#: 148173 / SEC#: 801-112356
RIA
Registered Investment Advisory firm - (1/22/2018 Approved)Virginia
Registered Investment Advisory firm - (1/29/2018 Terminated)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.Highlighted states indicate IAR registrations
IAR
Texas(1/30/2019)
IAR
Virginia(9/10/2008)
Current Firm
STRATEGENT FINANCIAL, LLC
STRATEGENT FINANCIAL | STRATEGENT FINANCIAL, LLC
CRD#: 148173 / SEC#: 801-112356
RIA
Registered Investment Advisory firm - (1/22/2018 Approved)Virginia
Registered Investment Advisory firm - (1/29/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
185 Neff Avenue Suite 102, Harrisonburg, VA 22801
Mailing Address
Phone number
(540) 437-1222
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (2 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 129 |
| AUM (Assets Under Management) | $ 297,357,346 |
Red Flags
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