Eric T. Lam

CASSEDY FINANCIAL GROUP

TAMPA, FL 33606

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CRD#: 6713036

Professional summary

Eric Tin Yao Lam is a registered financial advisor currently at CASSEDY FINANCIAL GROUP, INC. located in Tampa, Florida.

Eric is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Eric has worked at 3 firms and has passed the Series 66, Series 7TO and SIE 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) NOTARY SERVICES; NOTARY PUBLIC; ATTORNEY/PARALEGAL/NOTARY SERVICES; START DATE: 9/8/21 4 HOURS PER MONTH. 2) ADRIENNE LAM; POWER OF ATTORNEY; FIDUCIARY POSITION; START DATE: 9/8/2021; 4 HOURS PER MONTH. 3) REAL ESTATE; OWNER; REAL ESTATE; START DATE 9/8/2021; 8 HOURS PER MONTH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Tin Yao Lam's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 16, 2022 - Present

CASSEDY FINANCIAL GROUP, INC.

Office #1: 113 South Blvd Suite 200, Tampa, FL 33606

RIA

CRD#: 111446

TAMPA, FL

Past

September 9, 2021 - May 24, 2022

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

Tampa, FL

Past

September 25, 2020 - May 24, 2022

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

TAMPA, FL

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".

CASSEDY FINANCIAL GROUP, INC.

CRD#: 111446 / SEC#: 801-121550

RIA

Registered Investment Advisory firm - (6/21/2021 Approved)

Florida

Registered Investment Advisory firm - (5/18/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Florida
(6/16/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/28/2021

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 9/25/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 7/31/2020

Securities Industry Essentials Examination

Current Firm

CASSEDY FINANCIAL GROUP, INC.

CRD#: 111446 / SEC#: 801-121550

RIA

Registered Investment Advisory firm - (6/21/2021 Approved)

Florida

Registered Investment Advisory firm - (5/18/2022 Terminated)

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Contact information

Main Address

113 South Blvd Suite 200, Tampa, FL 33606

Mailing Address

Phone number

(813) 251-0004

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CASSEDY FINANCIAL GROUP, INC. FORM ADV PART 2A MARCH 28, 2025 (3/28/2025)

Regulatory assets under management

Total Number of Accounts	413
AUM (Assets Under Management)	$ 222,327,489

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.

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Eric T. Lam

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Tin Yao Lam's CRS (Customer Relationship Summary).

Certified licenses

Experience

CASSEDY FINANCIAL GROUP, INC.

CETERA INVESTMENT ADVISERS LLC

FIRST ALLIED SECURITIES, INC.

Primary Firm SEC Registration

CASSEDY FINANCIAL GROUP, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/28/2021

Series 7TO

Date: 9/25/2020

SIE

Date: 7/31/2020

Current Firm

CASSEDY FINANCIAL GROUP, INC.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CASSEDY FINANCIAL GROUP, INC.

TRUST BUT VERIFY

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