Vivian Tam
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.
Vivian Tam, who also goes by VIvian Luy, Vivian Luy Tam, was a registered financial professional .
Vivian is a previously registered financial professional and started their career in finance in 2008. Vivian had worked at 4 firms and has passed the Series 66, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 24, 2012 - September 24, 2013
BLACKROCK CAPITAL MARKETS, LLC
November 24, 2009 - December 31, 2011
BLACKROCK FUND DISTRIBUTION COMPANY
August 25, 2009 - April 12, 2016
BLACKROCK FUND ADVISORS
November 18, 2008 - April 12, 2016
BLACKROCK EXECUTION SERVICES
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
Current Firm
BLACKROCK CAPITAL MARKETS, LLC
CRD#: 146514 / SEC#: , 8-67827
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BLACKROCK, INC. | SOLE MEMBER | |
| FINK, LAURENCE DOUGLAS | DIRECTOR | 830137 |
| KAPITO, ROBERT S | DIRECTOR | 728399 |
| MONTENECOURT, GENE EDWARD | CHIEF COMPLIANCE OFFICER | 3230216 |
| PATHAK, SAURABH P | CHIEF FINANCIAL OFFICER AND FINOP | 5920712 |
| VOGEL, CHRISTOPHER JOHN | PRESIDENT/CHIEF EXECUTIVE OFFICER | 4401579 |
| WALTCHER, DANIEL R | DIRECTOR |
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.
