PL
Patrick W. Lam
EMERSON EQUITY LLC
Scottsdale, AZ 85260
Some features on this profile are disabled
CRD#: 4723020
PL
Professional summary
Patrick Wang Lam is a registered financial professional currently at EMERSON EQUITY LLC located in Scottsdale, Arizona.
Patrick is registered as a RR (Registered Representative) and started their career in finance in 2004. Patrick has worked at 11 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Patrick Wang 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®
NoneExperience
Current
April 15, 2019 - Present
EMERSON EQUITY LLC
Office #1: 15011 N 75th, Scottsdale, AZ 85260RIA
BD
CRD#: 130032
Scottsdale, AZ
Past
October 15, 2018 - April 15, 2019
SANDLAPPER SECURITIES, LLC
BD
CRD#: 137906
Los Gatos, CA
Past
December 5, 2017 - October 22, 2018
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
BD
CRD#: 102920
NEW YORK, NY
Past
March 3, 2014 - October 17, 2017
GRIFFIN CAPITAL SECURITIES, LLC
BD
CRD#: 37739
IRVINE, CA
Past
October 24, 2012 - March 6, 2014
NATIONWIDE INVESTMENT SERVICES CORPORATION
BD
CRD#: 7110
COLUMBUS, OH
Past
August 30, 2012 - October 10, 2012
ALT FUND DISTRIBUTORS LLC
BD
CRD#: 146547
NEW YORK, NY
Past
December 14, 2010 - December 12, 2011
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
RADNOR, PA
Past
January 17, 2007 - November 18, 2010
COREBRIDGE CAPITAL SERVICES, INC.
BD
CRD#: 13158
JERSEY CITY, NJ
Past
December 11, 2004 - January 17, 2007
METLIFE INVESTORS DISTRIBUTION COMPANY
BD
CRD#: 107622
IRVINE, CA
Past
September 1, 2004 - December 11, 2004
METLIFE INVESTORS DISTRIBUTION COMPANY
BD
CRD#: 6695
NEWPORT BEACH, CA
Past
January 30, 2004 - August 19, 2004
WAMU INVESTMENTS, INC.
BD
CRD#: 599
IRVINE, CA
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".
EE
EMERSON EQUITY LLC
EMERSON EQUITY LLC
CRD#: 130032 / SEC#: 801-120835, 8-66296
RIA
Registered Investment Advisory firm - SEC (4/16/2021 Approved)California
Registered Investment Advisory firm - SEC (5/11/2023 Terminated)Colorado
Registered Investment Advisory firm - SEC (4/19/2023 Terminated)Nevada
Registered Investment Advisory firm - SEC (5/11/2023 Terminated)New York
Registered Investment Advisory firm - SEC (9/21/2021 Terminated)North Carolina
Registered Investment Advisory firm - SEC (4/12/2023 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/11/2023 Terminated)Texas
Registered Investment Advisory firm - SEC (4/11/2023 Terminated)Virginia
Registered Investment Advisory firm - SEC (2/14/2022 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (11/16/2022 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Arizona(4/15/2019)
RR
California(4/15/2019)
RR
Colorado(4/22/2019)
RR
Florida(4/15/2019)
RR
Georgia(10/29/2024)
RR
Illinois(4/23/2019)
RR
Indiana(4/23/2019)
RR
Kansas(4/23/2019)
RR
Louisiana(12/19/2024)
RR
Maryland(4/23/2019)
RR
Massachusetts(7/23/2019)
RR
Michigan(4/23/2019)
RR
Minnesota(4/23/2019)
RR
Missouri(4/23/2019)
RR
Montana(5/15/2019)
RR
Nebraska(11/26/2024)
RR
Nevada(4/15/2019)
RR
New Jersey(4/23/2019)
RR
New York(4/23/2019)
RR
North Carolina(11/1/2024)
RR
Oregon(4/23/2019)
RR
Pennsylvania(4/23/2019)
RR
South Carolina(4/15/2019)
RR
Texas(4/23/2019)
RR
Washington(4/23/2019)
RR
Wisconsin(12/5/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
EE
EMERSON EQUITY LLC
EMERSON EQUITY LLC
CRD#: 130032 / SEC#: 801-120835, 8-66296
RIA
Registered Investment Advisory firm - SEC (4/16/2021 Approved)California
Registered Investment Advisory firm - SEC (5/11/2023 Terminated)Colorado
Registered Investment Advisory firm - SEC (4/19/2023 Terminated)Nevada
Registered Investment Advisory firm - SEC (5/11/2023 Terminated)New York
Registered Investment Advisory firm - SEC (9/21/2021 Terminated)North Carolina
Registered Investment Advisory firm - SEC (4/12/2023 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/11/2023 Terminated)Texas
Registered Investment Advisory firm - SEC (4/11/2023 Terminated)Virginia
Registered Investment Advisory firm - SEC (2/14/2022 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (11/16/2022 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
155 Bovet Road, Suite 725, San Mateo, CA 94402
Mailing Address
155 Bovet Road, Suite 725, San Mateo, CA 94402
Phone number
(650) 312-0200
Established
California since 10/10/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
222
SEC notice filing (32 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 1,091 |
| AUM (Assets Under Management) | $ 327,937,701 |
Disclosures
| Regulatory Event | 2 |
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.
