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PL

Philip K. Lam

CCA CAPITAL LLC
Boston, MA 02108
Some features on this profile are disabled
CRD#: 7290434
PL

Professional summary

Philip Kachun Lam, who also goes by Phil Kachun Lam, is a registered financial professional currently at CCA CAPITAL LLC located in Boston, Massachusetts.

Philip is registered as a RR (Registered Representative) and started their career in finance in 2020. Philip has worked at 1 firm and has passed the Series 63, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Phil Kachun 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) - BD

Click below to view Philip Kachun 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®
None

Experience

Current

December 22, 2020 - Present

CCA CAPITAL LLC

Office #1: One Boston Place 201 Washington St., Suite 3825, Boston, MA, 02108
BD
CRD#: 154837
Boston, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Alabama
(12/22/2020)
RR
California
(12/22/2020)
RR
Connecticut
(12/22/2020)
RR
Delaware
(12/22/2020)
RR
Georgia
(12/22/2020)
RR
Illinois
(12/22/2020)
RR
Iowa
(12/22/2020)
RR
Kansas
(12/22/2020)
RR
Maryland
(12/22/2020)
RR
Massachusetts
(12/22/2020)
RR
Minnesota
(12/22/2020)
RR
Missouri
(12/22/2020)
RR
Nebraska
(12/22/2020)
RR
Nevada
(12/22/2020)
RR
New Jersey
(12/22/2020)
RR
New York
(12/22/2020)
RR
North Carolina
(12/22/2020)
RR
Ohio
(12/22/2020)
RR
Oklahoma
(12/22/2020)
RR
Pennsylvania
(12/22/2020)
RR
South Dakota
(12/22/2020)
RR
Texas
(12/22/2020)
RR
Virginia
(12/22/2020)
RR
Wisconsin
(12/22/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 11/23/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/21/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 7/17/2020
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

CC
CCA CAPITAL LLC
CCA CAPITAL LLC | CPGLB CAPITAL LLC

CRD#: 154837 / SEC#: , 8-68676

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
One Boston Place 201 Washington St., Suite 3825, Boston, MA, 02108
Mailing Address
One Boston Place 201 Washington St., Suite 3825, Boston, MA, 02108
Phone number
(617) 570-2300
Established
Delaware since 06/25/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (26 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CCA GROUP, LLCSOLE MEMBER
PASQUALINI, MARTIN JPRINCIPAL/DIRECTOR / VP
STAHLE, JAMES RICHARDCEO / CCO / DIR./PRINCIPAL
WILSON, ROBERT (NMN)CHIEF FINANCIAL OFFICER/FINOP6465354

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.

Company Information

CCA CAPITAL LLC

CRD#: 154837Boston, MA 02108

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