DL
David C. Lam
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CRD#: 5164361
DL
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.
David Chi Keung Lam, CFP®, who also goes by Chi Keung Lam, David Lam, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2006. David had worked at 2 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 4, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Chi Keung Lam | David 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.
SAINT JOSEPH'S UNIVERSITY POSITION: President, National Alumni Board. Former Vice President, National Alumni Board. Member of the Haub Alumni Council and National Alumni Board Member. NATURE: Private University INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 2 START DATE: 04/01/2018 ADDRESS: 5600 City Ave, Philadelphia PA 19131, United States DESCRIPTION: Attend regular general board meetings and work with Alumni Relations staff to engage local alumni and foster relationship with the university. Serving inleadership roles for assignedregionaland affinity chapters. Attend major University alumni events and various volunteer events. Serving as member of the Haub Business School Alumni Council. Served as Vice President, National Alumni Board from 6/1/2022 to 5/31/2024. Beginning on 6/1/2024, I will be serving a 2-year term as President of the National Alumni Board. The responsibilities are as follows.-Represent the Alumni Association at Signature University events.-Advocate on behalf of the Alumni Association through collaboration with University and Board of Trustee leadership.-Develop alumni board priorities and strategy.-Convene the Executive Committee of the NAB.-Preside over all semi-annual meetings of the National Alumni Board. PANDA PAVILION RESTAURANT, INC. POSITION: Business Manager NATURE: Restaurants INVESTMENT RELATED: No NUMBER OF HOURS: 12 SECURITIES TRADING HOURS: 0 START DATE: 12/29/2017 ADDRESS: 200 Blair Mill Road, Horsham PA 19044, United States DESCRIPTION: Review new restaurant locations, vendor management agreement, lease agreements, and budget plans. LAM'S GARDEN, INC. POSITION: Business Manager NATURE: Restaurants INVESTMENT RELATED: No NUMBER OF HOURS: 13 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2009 ADDRESS: 630 Welsh Road, Huntingdon Valley PA 19006, United States DESCRIPTION: Review new restaurant locations (Panda Bistro Brands), negotiate lease agreements,and review budget plans.
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®
Experience
Past
August 13, 2015 - May 19, 2025
LINCOLN INVESTMENT
RIA
CRD#: 519
Fort Washington, PA
Past
August 13, 2015 - May 19, 2025
LINCOLN INVESTMENT
BD
CRD#: 519
Fort Washington, PA
Past
September 18, 2006 - July 23, 2015
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
MALVERN, PA
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".
LINCOLN INVESTMENT
CMW | THE LINCOLN INVESTMENT COMPANIES | THE LEGEND GROUP | THE GABOR AGENCY | SHELGREN FINANCIAL GROUP | LINCOLN INVESTMENT PLANNING, LLC | LINCOLN INVESTMENT PLANNING, INC. | LINCOLN INVESTMENT PLANNING, INC | LINCOLN INVESTMENT | GABOR FINANCIAL SOLUTIONS | FINANCIAL DIRECTORS | CREATING AND MANAGING WEALTH
CRD#: 519 / SEC#: 801-14059, 8-14354
RIA
Registered Investment Advisory firm - SEC (9/11/1978 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
LINCOLN INVESTMENT
CMW | THE LINCOLN INVESTMENT COMPANIES | THE LEGEND GROUP | THE GABOR AGENCY | SHELGREN FINANCIAL GROUP | LINCOLN INVESTMENT PLANNING, LLC | LINCOLN INVESTMENT PLANNING, INC. | LINCOLN INVESTMENT PLANNING, INC | LINCOLN INVESTMENT | GABOR FINANCIAL SOLUTIONS | FINANCIAL DIRECTORS | CREATING AND MANAGING WEALTH
CRD#: 519 / SEC#: 801-14059, 8-14354
RIA
Registered Investment Advisory firm - SEC (9/11/1978 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
601 Office Center Drive Suite 300, Fort Washington, PA 19034-3232
Mailing Address
601 Office Center Drive Suite 150-mailroom, Fort Washington, PA 19034
Phone number
(215) 887-8111
Established
Pennsylvania since 08/01/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,293
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | MEMBER/OWNER | |
| ALEXANDER, DANIEL SEAN | EXECUTIVE VICE-PRESIDENT, CHIEF BUSINESS DEVELOPMENT OFFICER | 4051341 |
| BUETI, ANTHONY CHARLES | SENIOR VICE-PRESIDENT, OPERATIONS & SERVICE/ PRINCIPAL OPERATIONS OFFICER | 5876104 |
| BURA, KAREN DOUGHERTY | VICE-PRESIDENT, CONTROLLER | 1666006 |
| ESTES, JASON CHRISTOPHER | EXECUTIVE VICE-PRESIDENT, CHIEF INFORMATION & TECHNOLOGY OFFICER | 7485210 |
| FLAX, STEVEN NEIL | EXECUTIVE VICE-PRESIDENT, CHIEF HUMAN RESOURCES OFFICER | 5655474 |
| FORST, EDWARD SAMUEL JR | ELECTED MANAGER/CEO | 708024 |
| LECKEY, KATHLEEN KINSLOW | PRESIDENT, CHIEF OPERATING OFFICER | 2447809 |
| MATTSON, MAUREEN ANN | EXECUTIVE VICE-PRESIDENT, GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | 5952728 |
| MCCARTHY, DIANE MULHERRIN | EXECUTIVE VICE-PRESIDENT/CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/ELECTED MANAGER | 4923328 |
| MEHROTRA, SHASHI | SENIOR VICE-PRESIDENT, CHIEF INVESTMENT OFFICER | 2640875 |
| OBERLIES, SUSAN MARY | SENIOR VICE-PRESIDENT, CORPORATE COUNSEL/SECRETARY | 3009149 |
Regulatory assets under management
| Total Number of Accounts | 201,292 |
| AUM (Assets Under Management) | $ 18,904,482,714 |
Disclosures
| Regulatory Event | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2024 | ||
| 09/27/2023 | ||
| 03/29/2023 |
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.
