Andrew S. Lam

STRATEGENT FINANCIAL

Harrisonburg, VA 22801

Some features on this profile are disabled

CRD#: 6869794

Professional summary

Andrew Scott Lam, CFP®, who also goes by Andrew Lam, is a registered financial advisor currently at STRATEGENT FINANCIAL, LLC located in Harrisonburg, Virginia.

Andrew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Andrew has worked at 3 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Andrew 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Scott 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®

CFP^®

Certified Financial Planner

Experience

Current

November 15, 2022 - Present

STRATEGENT FINANCIAL, LLC

Office #1: 185 Neff Avenue Suite 102, Harrisonburg, VA 22801

RIA

CRD#: 148173

Harrisonburg, VA

Past

December 21, 2018 - September 21, 2022

DIMENSIONAL FUND ADVISORS LP

RIA

CRD#: 106482

AUSTIN, TX

Past

November 15, 2017 - September 21, 2022

DFA SECURITIES LLC

CRD#: 10292

AUSTIN, TX

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".

STRATEGENT FINANCIAL, LLC

STRATEGENT FINANCIAL | STRATEGENT FINANCIAL, LLC

CRD#: 148173 / SEC#: 801-112356

RIA

Registered Investment Advisory firm - (1/22/2018 Approved)

Virginia

Registered Investment Advisory firm - (1/29/2018 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

Texas
(11/15/2022)

IAR

Virginia
(11/15/2022)

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: 12/20/2018

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/31/2018

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/15/2017

General Securities Representative Examination

Current Firm

STRATEGENT FINANCIAL, LLC

STRATEGENT FINANCIAL | STRATEGENT FINANCIAL, LLC

CRD#: 148173 / SEC#: 801-112356

RIA

Registered Investment Advisory firm - (1/22/2018 Approved)

Virginia

Registered Investment Advisory firm - (1/29/2018 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

185 Neff Avenue Suite 102, Harrisonburg, VA 22801

Mailing Address

Phone number

(540) 437-1222

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

STRATEGENT FORM ADV PART 2A (3/14/2025)

Regulatory assets under management

Total Number of Accounts	129
AUM (Assets Under Management)	$ 297,357,346

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.

Similar Advisors

Shivam Mittal

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Summit, NJ

Michael Ginsberg

GINSBERG FINANCIAL STRATEGIES

IAR

Walnut Creek, CA

Steven Schmidt

LPL ENTERPRISE, LLC

IAR

ST. LOUIS PARK, MN

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Andrew S. Lam

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Scott Lam's CRS (Customer Relationship Summary).

Certified licenses

Experience

DIMENSIONAL FUND ADVISORS LP

DFA SECURITIES LLC

Primary Firm SEC Registration

STRATEGENT FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/20/2018

Series 63

Date: 1/31/2018

SIE

Date: 10/1/2018

Series 7

Date: 11/15/2017

Current Firm

STRATEGENT FINANCIAL, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STRATEGENT FINANCIAL, LLC

TRUST BUT VERIFY

Similar Advisors