Samuel F. 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.
Samuel Francis Lam, who also goes by Sam Lam, Sammy Wai Keung Lam, Samuel Lam, was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 2003. Samuel had worked at 5 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 13, 2014 - October 17, 2014
WTS PROPRIETARY TRADING GROUP LLC
October 25, 2011 - August 29, 2012
ECHOTRADE LLC
August 4, 2011 - October 21, 2011
ECHOTRADE LLC
July 19, 2010 - June 30, 2011
ECHOTRADE LLC
May 1, 2009 - August 24, 2009
BRIGHT TRADING, LLC
March 9, 2007 - June 27, 2007
GLB TRADING, INC
June 27, 2003 - October 26, 2004
FIS BROKERAGE & SECURITIES SERVICES LLC
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 55
Date: 10/18/2003
Limited Representative-Equity Trader ExamCurrent Firm
WTS PROPRIETARY TRADING GROUP LLC
CRD#: 148117 / SEC#: , 8-67986
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
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.
