Cetera Investment Advisers LLC

Investment Advisor
in Rowland Heights, CA
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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



Office Location

19756 East Colima Road
Rowland Heights, CA 91748

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Cetera Investment Advisers LLC Brokerage Details

Total Assets Under Management


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


CA Average: 44
Total Number of Accounts


CA Average: 2,564
Average Account Size


CA Average: $2,603,165

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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


Horace Lam has no disclosures.

Please visit their SEC profile for more details.

This content was compiled from the SEC and FINRA.

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