Horace
Lam

Cetera Investment Advisers LLC

CRD#4288191
Investment Advisor
in Rowland Heights, CA

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About this Advisor

Horace Lam is a financial advisor based in Rowland Heights, California, with 12 years of experience as a financial advisor. Lam is an advisor for Cetera Investment Advisers LLC. Over the course of their career, they have held roles at Citigroup Global Markets Inc, East West Bank, Cetera Investment Services LLC and Cetera Investment Advisers LLC. Lam has Series 66 and Series 63 licenses, certifying them as a securities representative, and is able to work in California. Cetera Investment Advisers LLC is a registered investment company that has its headquarters in Rowland Heights, California. The company has offices in 1,614 locations and a total of 2,072 advisors. It controls $10 billion in total assets between its 54,906 customer accounts, placing it among the largest investment advisory firms in the country by assets under management. The firm serves 118 charities and foundations. Of its 54,906 customer accounts, just 14% belong to high-net-worth clients who have more than $1 million in assets available to invest. The company has a number of services, such as 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. Fees for financial management usually vary depending on which service is provided. Fee types charged by Cetera Investment Advisers LLC can be comprised of any combination of asset-based, hourly and fixed fees.

Certifications and Registrations

Series 66, Series 63

Years of Experience

13 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

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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

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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 13 years of experience.

2015 - Present (5 years)

Cetera Investment Services LLC

2015 - Present (5 years)

Cetera Investment Advisers LLC

2014 - Present (6 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.

Financial Advisors at Cetera Investment Advisers LLC

Juanjie Long
Beverly Hills, CA
Mary Ewen
Baton Rouge, LA
James Scattergood
Minneapolis, MN
Ying Lu
New York, NY
Thomas Walter
Meadville, PA
Erin Mccloskey
San Mateo, CA
Adam Mckay
Tampa, FL
Neil Kobrin
Fort Lauderdale, FL

This content was compiled from the SEC and FINRA.

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