Articles Tagged with Samuel Lam

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Samuel LamPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 12, 2018 indicate that Virginia and Maryland-based Capitol Securities Management broker/adviser Samuel Lam has been sanctioned by regulatory authorities and received customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Lam (CRD# 3157188).

Samuel Lam has spent 18 years in the securities industry and has been registered with Capitol Securities Management in Reston, Virginia and Silver Spring, Maryland since 2016. Previous registrations include Wells Fargo Advisors in Rockville, Maryland (2009-2016); Citigroup Global Markets in Washington, DC (2007-2009); Citicorp Investment Services in Washington, DC (1999-2007); American Express Financial Services in Minneapolis, Minnesota (1999); and IDS Life Insurance Company in Minneapolis, Minnesota (1999). He has passed three securities industry examinations: Series 66 (Uniform Investment Adviser Law Examination), which he obtained on August 2, 2001; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 20, 1999; and Series 7 (General Securities Representative Examination), which he obtained on July 30, 1999. He is a registered broker and investment adviser with nine US states and territories: Alabama, California, Delaware, the District of Columbia, Florida, Maryland, New York, Texas, and Virginia.

According to his BrokerCheck report, Samuel Lam has received one regulatory sanction and two customer complaints, and was discharged from his former employer in connection to alleged rule violations.