Stephen T. Lam

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CRD#: 4234936

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.

Stephen Thanh Lam, who also goes by Steve Lam, was a registered financial professional .

Stephen is a previously registered financial professional and started their career in finance in 2000. Stephen had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 55 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Steve 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.

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

June 8, 2021 - February 5, 2026

SERAPHIM CAPITAL MANAGEMENT, LLC

RIA

CRD#: 170976

Pennsburg, PA

Past

November 3, 2017 - June 16, 2021

WOODBURY FINANCIAL SERVICES, INC.

RIA

CRD#: 421

PENNSBURG, PA

Past

November 3, 2017 - June 16, 2021

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

PENNSBURG, PA

Past

February 10, 2016 - November 6, 2017

MID ATLANTIC FINANCIAL MANAGEMENT, INC.

RIA

CRD#: 109771

PENNSBURG, PA

Past

November 18, 2015 - November 6, 2017

NEWEDGE SECURITIES, LLC

CRD#: 10674

PENNSBURG, PA

Past

November 1, 2000 - October 3, 2001

TAFFERER TRADING, LLC

CRD#: 36816

NEW YORK, NY

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".

SERAPHIM CAPITAL MANAGEMENT, LLC

CRD#: 170976 / SEC#: 801-120902

RIA

Registered Investment Advisory firm - (4/23/2021 Approved)

Colorado

Registered Investment Advisory firm - (4/28/2021 Terminated)

New Jersey

Registered Investment Advisory firm - (6/22/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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.

Exams

State Security Law Exam

Series 63

Date: 3/31/2016

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: 11/18/2015

General Securities Representative Examination

General Industry/Product Exam

Series 55

Date: 1/12/2001

Limited Representative-Equity Trader Exam

Current Firm

SERAPHIM CAPITAL MANAGEMENT, LLC

CRD#: 170976 / SEC#: 801-120902

RIA

Registered Investment Advisory firm - (4/23/2021 Approved)

Colorado

Registered Investment Advisory firm - (4/28/2021 Terminated)

New Jersey

Registered Investment Advisory firm - (6/22/2021 Terminated)

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Contact information

Main Address

Blauvelt, NY

Mailing Address

Phone number

(720) 406-7790

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A SERAPHIM (2/10/2026)

Regulatory assets under management

Total Number of Accounts	180
AUM (Assets Under Management)	$ 63,000,000

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

Stephen T. Lam

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

MID ATLANTIC FINANCIAL MANAGEMENT, INC.

NEWEDGE SECURITIES, LLC

TAFFERER TRADING, LLC

Primary Firm SEC Registration

SERAPHIM CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/31/2016

SIE

Date: 10/1/2018

Series 7

Date: 11/18/2015

Series 55

Date: 1/12/2001

Current Firm

SERAPHIM CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SERAPHIM CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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