Grace C. Yuen Tam

SIEBERT WILLIAMS SHANK & CO.

Sacramento, CA 95814

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CRD#: 4573753

Professional summary

Grace C Yuen Tam, who also goes by Grace Chung-yan Yuen, is a registered financial professional currently at SIEBERT WILLIAMS SHANK & CO., LLC located in Sacramento, California.

Grace is registered as a RR (Registered Representative) and started their career in finance in 2002. Grace has worked at 3 firms and has passed the Series 63, SIE, Series 50, Series 7, Series 52 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Grace Chung-Yan Yuen

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) - BD

Click below to view Grace C Yuen Tam'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

September 17, 2013 - Present

SIEBERT WILLIAMS SHANK & CO., LLC

Office #1: 500 Capitol Mall Suite 2350, Sacramento, CA 95814Office #2: 660 South Figueroa Street Suite 1720, Los Angeles, CA 90017

CRD#: 42568

Sacramento, CA

Past

May 19, 2004 - June 18, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CHICAGO, IL

Past

September 11, 2002 - April 2, 2004

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

State Registrations and Notice Filings

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

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

Arizona
(9/17/2013)

California
(9/17/2013)

Colorado
(9/17/2013)

District of Columbia
(9/17/2013)

Hawaii
(9/17/2013)

Illinois
(9/17/2013)

Indiana
(9/17/2013)

Louisiana
(9/17/2013)

Michigan
(9/17/2013)

Nevada
(9/17/2013)

Oregon
(9/17/2013)

Texas
(9/17/2013)

Washington
(9/17/2013)

Exams

State Security Law Exam

Series 63

Date: 5/28/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 50

Date: 8/10/2017

Municipal Advisor Representative Qualification Exam

General Industry/Product Exam

Series 7

Date: 2/19/2005

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 9/10/2002

Municipal Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 12/5/2016

Municipal Securities Principal Examination

SRO Registrations

FINRA

Current Firm

SIEBERT WILLIAMS SHANK & CO., LLC

SIEBERT CISNEROS SHANK & CO., L.L.C. | SIEBERT, BRANDFORD, SHANK & CO., L.L.C. | SIEBERT WILLLIAMS SHANK | SIEBERT WILLIAMS SHANK & CO., LLC

CRD#: 42568 / SEC#: , 8-49877

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

100 Wall Street 18th Floor, New York, NY 10005

Mailing Address

100 Wall Street 18th Floor, New York, NY 10005

Phone number

(646) 775-4850

Established

Delaware since 03/10/1997

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (50 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
SHANK WILLIAMS CISNEROS, LLC	OWNER
CALABRISOTTO, DIANNE NMN	AML OFFICER	1273900
CALABRISOTTO, DIANNE NMN	CHIEF COMPLIANCE OFFICER & COO	1273900
CHANDA, ATEESH SINGH	CHIEF LEGAL OFFICER	6973151
DIAZ, DANIEL	FINANCIAL PRINCIPAL	2214417
HALL, GARY	CO-PRESIDENT	4393662
SHANK-WERDLOW, SUZANNE FRANCES	CEO, DIRECTOR OF PARENT	1860931
THOMPSON, WILLIAM COLRIDGE JR	CHIEF ADMINISTRATIVE OFFICER	2316101
WARNER, SOBANI MULENGA	CO-PRESIDENT	1732009

Disclosures

Regulatory Event

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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Firm Stability Insights

Grace C. Yuen Tam

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Grace C Yuen Tam's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CITIGROUP GLOBAL MARKETS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/28/2003

SIE

Date: 10/1/2018

Series 50

Date: 8/10/2017

Series 7

Date: 2/19/2005

Series 52

Date: 9/10/2002

Series 53

Date: 12/5/2016

FINRA

Current Firm

SIEBERT WILLIAMS SHANK & CO., LLC

Contact information

FINRA licenses (50 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SIEBERT WILLIAMS SHANK & CO., LLC

TRUST BUT VERIFY

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