David E. Lam
FOCUS INVESTMENT ADVISORS,
Solana Beach, CA 92075
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CRD#: 5052501
Professional summary
David Everett Lam, CFP® is a registered financial advisor currently at FOCUS INVESTMENT ADVISORS, INC located in Solana Beach, California and LPL FINANCIAL LLC located in Solana Beach, California.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. David has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1. 10/24/2011: REAL ESTATE RENTAL - RENTAL CONDO LOCATED ON MESA SPRINGS WAY, UNI 144 IN SAN DIEGO, CA (CREEKSIDE). - TIME SPENT 0%. 2. 12/11/2018 - Focus Investment Advisors, Inc. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 11/19/2018 - 160 Hours Per Month During Securities Trading - I provide investment advisory services through Focus Investment Advisor Inc, an independent investment advisor firm. I started this business activity in 11/19/2018. I expect to spend approximately 160 hours per month on this activity. Please see the Form ADV of the advisory firm for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3. 8/17/2020 - Rotary Club of Encinitas - Not Investment Related - 1393 Windsor Rd, Cardiff, CA 92007 - Non-Profit Board Member - Started 07/01/2020 - 10 Hours Per Month/0 Hours During Securities Trading.
CRS (Client Relationship Summary) - RIA
Click below to view David Everett 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®
CFP®
Start date: 2014
Experience
Current
November 27, 2018 - Present
FOCUS INVESTMENT ADVISORS, INC
Office #1: 514 Via De La Valle Suite 200, Solana Beach, CA 92075RIA
CRD#: 109970
Solana Beach, CA
Current
October 24, 2011 - Present
LPL FINANCIAL LLC
Office #1: 514 Via De La Valle, Suite 200, Solana Beach, CA 92075RIA
BD
CRD#: 6413
Solana Beach, CA
Past
October 24, 2011 - March 25, 2019
LPL FINANCIAL LLC
RIA
CRD#: 6413
ENCINITAS, CA
Past
January 18, 2007 - October 26, 2011
EDWARD JONES
RIA
CRD#: 250
ENCINITAS, CA
Past
January 1, 2006 - October 26, 2011
EDWARD JONES
BD
CRD#: 250
ENCINITAS, 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".
FI
FOCUS INVESTMENT ADVISORS, INC
FOCUS INVESTMENT ADVISORS | IKAIKA, LLC | FOCUS INVESTMENT ADVISORS, INC
CRD#: 109970 / SEC#: 801-57176
RIA
Registered Investment Advisory firm - (4/10/2000 Approved)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
California(10/24/2011)
IAR
California(11/27/2018)
RR
Colorado(7/21/2017)
RR
Florida(7/7/2017)
RR
Idaho(9/24/2021)
RR
Nevada(12/12/2023)
RR
New York(8/17/2023)
RR
Texas(1/11/2022)
RR
Washington(1/4/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FI
FOCUS INVESTMENT ADVISORS, INC
FOCUS INVESTMENT ADVISORS | IKAIKA, LLC | FOCUS INVESTMENT ADVISORS, INC
CRD#: 109970 / SEC#: 801-57176
RIA
Registered Investment Advisory firm - (4/10/2000 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
514 Via De La Valle Suite 200, Solana Beach, CA 92075
Mailing Address
Phone number
(760) 230-1880
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (2 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 34 |
| AUM (Assets Under Management) | $ 884,989,269 |
Red Flags
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