TL
Thuan K. Lam
PROVIDENCE FINANCIAL AND INSURANCES
WOODLAND HILLS, CA 91367
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CRD#: 4946292
TL
Professional summary
Thuan Khai Lam, who also goes by Thuan Lam, is a registered financial advisor currently at PROVIDENCE FINANCIAL AND INSURANCES, INC. located in Woodland Hills, California.
Thuan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Thuan has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thuan Lam
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.
1) ARTIZAN IMAGES 1605 OAKHORNE DR. HARBOR CITY, CA 90710 CATEGORY: RETAIL, SERVICE INDUSTRY OR SALARIED EMPLOYEE INVESTMENT-RELATED: NO TITLE: OWNER DUTIES: WEDDING, ENGAGEMENT, EVENT PHOTOGRAPHY START DATE: 8/6/13 HOURS PER MONTH: 10 HOURS PER MONTH DURING TRADING HOURS: 0 2) INSURANCE AGENT WOODLAND HILLS, CA CATEGORY: INDEPENDENTLY LICENSED TO SELL INSURANCE AND ANNUITY PRODUCTS THROUGH VARIOUS INSURANCE COMPANIES INVESTMENT-RELATED: YES TITLE: INSUARNCE AGENT DUTIES: INDEPENDENTLY LICENSED TO SELL INSURANCE AND ANNUITY PRODUCTS THROUGH VARIOUS INSURANCE COMPANIES START DATE: 4/2006 HOURS PER MONTH: 60 HOURS PER MONTH DURING TRADING HOURS: 60
CRS (Client Relationship Summary) - RIA
Click below to view Thuan Khai 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
August 4, 2022 - Present
PROVIDENCE FINANCIAL AND INSURANCES, INC.
Office #1: 6320 Canoga Avenue, Suite 600, Woodland Hills, CA 91367RIA
CRD#: 141988
WOODLAND HILLS, CA
Past
April 25, 2008 - April 1, 2022
OSAIC FS, INC.
RIA
CRD#: 3870
HARBOR CITY, CA
Past
June 15, 2007 - April 1, 2022
OSAIC FS, INC.
BD
CRD#: 3870
HARBOR CITY, CA
Past
July 5, 2006 - June 11, 2007
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
LOS ANGELES, CA
Past
May 5, 2006 - June 6, 2006
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
NEWPORT BEACH, 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".
PF
PROVIDENCE FINANCIAL AND INSURANCES, INC.
PROVIDENCE FINANCIAL AND INSURANCE SERVICES, INC | SENIOR BENEFITS | SACCARO, ANTHONY ALAN | SACCARO, ANTHONY A. | PROVIDENCE FINANCIAL AND INSURANCES, INC. | PROVIDENCE FINANCIAL AND INSURANCE SERVICES, INC.
CRD#: 141988 / SEC#: 801-121770
RIA
Registered Investment Advisory firm - (7/16/2021 Approved)California
Registered Investment Advisory firm - (8/28/2021 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
California(8/4/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
PF
PROVIDENCE FINANCIAL AND INSURANCES, INC.
PROVIDENCE FINANCIAL AND INSURANCE SERVICES, INC | SENIOR BENEFITS | SACCARO, ANTHONY ALAN | SACCARO, ANTHONY A. | PROVIDENCE FINANCIAL AND INSURANCES, INC. | PROVIDENCE FINANCIAL AND INSURANCE SERVICES, INC.
CRD#: 141988 / SEC#: 801-121770
RIA
Registered Investment Advisory firm - (7/16/2021 Approved)California
Registered Investment Advisory firm - (8/28/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
6320 Canoga Avenue, Suite 600, Woodland Hills, CA 91367
Mailing Address
Phone number
(818) 887-6443
Established
Firm type
Fiscal year end
# of Employees
17
SEC notice filing (1 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,362 |
| AUM (Assets Under Management) | $ 189,507,150 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
