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RL

Raymond Lam

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CRD#: 4838246
RL

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.

Raymond Lam was a registered financial professional .

Raymond is a previously registered financial professional and started their career in finance in 2004. Raymond had worked at 2 firms and has passed the Series 63, Series 57TO, SIE, Series 7 and Series 24 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.

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

September 28, 2018 - September 11, 2023

SIMON MARKETS LLC

BD
CRD#: 290965
New York, NY
Past

September 22, 2004 - January 4, 2019

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY

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.

Exams

State Security Law Exam
RR
Series 63
Date: 4/21/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/21/2004
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/30/2019
General Securities Principal Examination

Current Firm

SM
SIMON MARKETS LLC
SIMON MARKETS LLC

CRD#: 290965 / SEC#: , 8-70052

BD
Terminated by SEC on 01/30/2024
PREMIUM
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 08/08/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
SIMON GROUP LLCMEMBER
BRODER, JASON ROBERTHEAD OF SIMON MARKETS LLC4571402
GEORGE, THOMAS KEITHPRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER5378303
THOME, CHRISTOPHER WESLEYCHIEF COMPLIANCE OFFICER5488980

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.

Company Information

SIMON MARKETS LLC

CRD#: 290965

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