Scott Lam

KESTRA ADVISORY SERVICES

ENCINO, CA 91316

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CRD#: 4107758

Professional summary

Scott Lam, who also goes by Scott Lam, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Encino, California and KESTRA INVESTMENT SERVICES, LLC located in Encino, California.

Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Scott has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Scott Lam

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.

Business Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway Building 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Investment Advisor Representative Start Date: 4/4/2016 Hours per month: Up to 100% (0 to 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment advisory servicesBusiness Name: FMS Financial Partners Inc Investment Related: Yes Address: 6345 Balboa Blvd Building IV, STE 290 Encino CA 91316 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Financial advisor/registered rep Start Date: 5/1/2018 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Ensure clients investments are sound and to the clients best interests during their working years and into retirement years.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott 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

April 20, 2016 - Present

KESTRA ADVISORY SERVICES, LLC

Office #1: 6345 Balboa Blvd., Suite 290, Encino, CA 91316

RIA

CRD#: 283330

ENCINO, CA

Current

November 4, 2015 - Present

KESTRA INVESTMENT SERVICES, LLC

Office #1: 6345 Balboa Blvd., Suite 290, Encino, CA 91316

CRD#: 42046

Encino, CA

Past

November 5, 2015 - September 22, 2016

KESTRA INVESTMENT SERVICES, LLC

RIA

CRD#: 42046

Alhambra, CA

Past

June 9, 2011 - December 4, 2015

LPL FINANCIAL LLC

RIA

CRD#: 6413

ALHAMBRA, CA

Past

June 8, 2011 - December 4, 2015

LPL FINANCIAL LLC

CRD#: 6413

ALHAMBRA, CA

Past

October 23, 2009 - June 10, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PASADENA, CA

Past

October 23, 2009 - June 10, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

PASADENA, CA

Past

January 12, 2007 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

GARDEN GROVE, CA

Past

January 12, 2007 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

GARDEN GROVE, CA

Past

September 28, 2005 - January 12, 2007

CITICORP INVESTMENT SERVICES

RIA

CRD#: 23988

ALHAMBRA, CA

Past

May 23, 2005 - January 12, 2007

CITICORP INVESTMENT SERVICES

CRD#: 23988

ALHAMBRA, CA

Past

May 13, 2004 - May 2, 2005

WAMU INVESTMENTS, INC.

CRD#: 599

IRVINE, CA

Past

March 6, 2001 - April 21, 2004

SCOTTRADE, INC.

CRD#: 8206

ST. LOUIS, MO

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".

KESTRA ADVISORY SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA

Registered Investment Advisory firm - (12/31/1998 Approved)

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

California
(11/4/2015)

IAR

California
(4/20/2016)

Nevada
(11/4/2015)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/26/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/12/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/5/2001

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

KESTRA ADVISORY SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA

Registered Investment Advisory firm - (12/31/1998 Approved)

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Contact information

Main Address

5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735

Mailing Address

Phone number

(844) 553-7872

Established

Firm type

Fiscal year end

# of Employees

1,299

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KESTRA ADVISORY SERVICES, LLC BROCHURE (RETAIL CLIENTS) (10/21/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (WRAP FEE PROGRAM) (10/21/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (PLAN CLIENTS) (10/21/2025)

Regulatory assets under management

Total Number of Accounts	155,482
AUM (Assets Under Management)	$ 60,174,309,829

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/23/2024	Cover Page	Report
10/20/2023	Cover Page	Report
12/21/2022	Cover Page	Report

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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Advisor Monitoring

Firm Stability Insights

Scott Lam

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

CITICORP INVESTMENT SERVICES

CITICORP INVESTMENT SERVICES

WAMU INVESTMENTS, INC.

SCOTTRADE, INC.

Primary Firm SEC Registration

KESTRA ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/26/2005

Series 63

Date: 4/12/2001

SIE

Date: 10/1/2018

Series 7

Date: 3/5/2001

FINRA

Current Firm

KESTRA ADVISORY SERVICES, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

KESTRA ADVISORY SERVICES, LLC

TRUST BUT VERIFY

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