ML
Marcus J. Lam
CWS INVESTMENTS
Newport Beach, CA 92660
Some features on this profile are disabled
CRD#: 5030836
ML
Professional summary
Marcus James Lam, who also goes by Marcus Lam, is a registered financial advisor currently at CWS INVESTMENTS located in Newport Beach, California.
Marcus is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Marcus has worked at 1 firm and has passed the Series 63, SIE, Series 7 and Series 22 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Marcus 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.
I AM AN EMPLOYEE OF CWS CAPITAL PARTNERS LLC (CWSCP)(CORPORATE UMBRELLA OWNER OF CWS CORPORATE HOUSING LLC, AND CWS APARTMENT HOMES (CWSAH) A PROPERTY MGT FIRM). EACH OF THE FOREGOING MIGHT BE DEEMED INVESTMENT RELATED AND IS LOCATED AT 14 CORPORATE PLAZA DRIVE, SUITE 210, NEWPORT BEACH, CA 92660. MAJORITY OF MY TIME IS DEVOTED TO QUARTERLY OR SPECIAL PARTNERSHIP COMMUNICATIONS; MAY DEVOTE TIME TO ANY ONE OR MORE OF ABOVE ENTITIES ON A DAILY BASIS AS NEEDED.
CRS (Client Relationship Summary) - RIA
Click below to view Marcus James Lam's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Marcus James 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 30, 2013 - Present
CWS INVESTMENTS
Office #1: 14 Corporate Plaza Drive Suite 210, Newport Beach, CA 92660RIA
BD
CRD#: 23551
Newport Beach, CA
Current
July 7, 2006 - Present
CWS INVESTMENTS
Office #1: 14 Corporate Plaza Drive Suite 210, Newport Beach, CA 92660RIA
BD
CRD#: 23551
Newport Beach, CA
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.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(5/15/2013)
RR
California(7/7/2006)
IAR
California(8/30/2013)
RR
Colorado(6/10/2013)
RR
Connecticut(5/15/2013)
RR
District of Columbia(2/19/2016)
RR
Florida(5/15/2013)
RR
Georgia(2/11/2014)
RR
Hawaii(2/10/2016)
RR
Idaho(5/20/2015)
RR
Illinois(7/11/2013)
RR
Indiana(9/24/2013)
RR
Louisiana(11/12/2013)
RR
Massachusetts(5/15/2013)
RR
Michigan(6/3/2015)
RR
Minnesota(11/19/2013)
RR
Missouri(3/20/2015)
RR
Nevada(2/18/2014)
RR
New Jersey(1/7/2025)
RR
New Mexico(8/29/2013)
RR
New York(5/15/2013)
RR
North Carolina(7/1/2013)
RR
Oklahoma(5/27/2015)
RR
Oregon(9/24/2013)
RR
Pennsylvania(8/20/2013)
RR
Puerto Rico(1/8/2020)
RR
Rhode Island(11/5/2013)
RR
South Carolina(5/29/2015)
RR
South Dakota(5/21/2015)
RR
Texas(5/15/2013)
RR
Utah(9/5/2013)
RR
Virginia(8/2/2013)
RR
Washington(1/8/2020)
RR
Wyoming(5/15/2013)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CWS INVESTMENTS
CLAYTON, WILLIAMS & SHERWOOD INVESTMENTS | CWS INVESTMENTS
CRD#: 23551 / SEC#: , 8-40494
California
Registered Investment Advisory firm - SEC (8/30/2013 Approved)Illinois
Registered Investment Advisory firm - SEC (11/13/2015 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
14 Corporate Plaza, Suite 210 Ste. 210, Newport Beach, CA 92660
Mailing Address
14 Corporate Plaza, Suite 210, Newport Beach, CA 92660
Phone number
(949) 640-4200
Established
California since 10/04/1988
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
31
FINRA licenses (34 States and Territories)
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.
