Horace
Lam

Cetera Investment Advisers LLC

CRD#4288191
Investment Advisor
in Rowland Heights, CA
Are you Horace Lam? Claim this listing.

Answer a few questions and
get matched with an advisor.

Find an Advisor

About this Advisor

Horace Lam is a financial advisor in Rowland Heights, California. Currently a registered investment advisor with Cetera Investment Advisers LLC, they have accumulated 11 years of professional experience. Lam has Series 66 and Series 63 licenses, which certify them as a securities agent. Lam is able to work with investors based out of California. Their career trajectory has included roles at Citigroup Global Markets Inc, East West Bank, Cetera Investment Services LLC and Cetera Investment Advisers LLC. Cetera Investment Advisers LLC is headquartered in Rowland Heights, California, and operates out of 1,938 additional brick-and-mortar locations throughout the nation. As a registered investment firm, Cetera Investment Advisers LLC manages $10 billion in assets across 51,335 client accounts and employs more than 1,951 people. The amount of assets the firm manages places it among the largest firms in the nation. The firm manages 44,320 accounts on a discretionary basis, in which the advisor has the authority to make all investment decisions. Currently 12% of the firm's customers are high-net-worth individuals, meaning they have greater than $1 million in assets. Cetera Investment Advisers LLC offers financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients, pension consulting services, selection of other advisers and educational seminars. The firm may charge clients asset-based, hourly and fixed fees.

Certifications and Registrations

Series 66, Series 63

Years of Experience

11 years

Services Offered

Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients, Pension consulting services, Selection of other advisers, Educational seminars/workshops

Fee Structure

Percentage of Assets, Hourly Charges, Fixed Fees

Disclosures

No

Office Location

19756 East Colima Road
Rowland Heights, CA 91748

Not sure which advisor is right for you? Use our matching tool.

Our matching tool simplifies the process of finding a financial advisor. To match you with top financial advisors nearby, we ask you a series of questions about your retirement plans, life status, investment goals and advisor preferences, which are all important topics to consider when choosing a financial advisor. Based on that information, we match you with financial advisors near you who suit your needs. Our matching tool has connected more individuals with financial advisors than any other service in the U.S. Click here to get matched with an advisor today.

Cetera Investment Advisers LLC Brokerage Details

Total Assets Under Management

$10,324,028,419

CA Average: $6,674,516,078
Total Number of Employees

2,072

CA Average: 44
Total Number of Accounts

54,906

CA Average: 2,564
Average Account Size

$188,031

CA Average: $2,603,165

Let us help match you with the right financial advisor for your needs.

Answer a few questions to get a personalized match.
Get started

Investment Advisory Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses or institutional clients
  • Pension consulting services
  • Selection of other advisers
  • Educational seminars/workshops

Horace Lam Work History

Horace has 11 years of experience.

2015 - Present (4 years)

Cetera Investment Services LLC

2015 - Present (4 years)

Cetera Investment Advisers LLC

2014 - Present (5 years)

East West Bank

2007 - 2014 (7 years)

Citigroup Global Markets Inc

Disclosures

Horace Lam has no disclosures.

Please visit their SEC profile for more details.

This content was compiled from the SEC and FINRA.

Let us help match you with the right financial advisor for your needs.

Answer a few questions to get a personalized match.
Get started