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 a total of 8 years of industry experience. Lam is an advisor for Cetera Investment Advisers LLC. The advisor has gained experience 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, qualifying them as a securities agent, and is approved to advise clients in California. Cetera Investment Advisers LLC is an advisory business headquartered in Schaumburg, IL. It has offices in 1,614 locations and a total of 3,094 employees. It administers $33 billion in assets among its 176,986 client accounts, making it one of the biggest financial advisory firms in the nation by assets under management. The firm advises 431 charitable organizations. Of its 176,986 customer accounts, 23% are associated with high-net-worth individuals who have more than $1 million in investable assets. The business has a wide set of services, including 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 charged by financial advisors largely are based on which service is offered. However, fees billed by Cetera Investment Advisers LLC can include asset-based, hourly and fixed fees.

Certifications and Registrations

Series 66, Series 63

Years Registered*

8 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

$33,356,369,941

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

3,094

CA Average: 44
Total Number of Accounts

176,986

CA Average: 2,564
Average Account Size

$188,469

CA Average: $2,603,165

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 been registered as a financial advisor for 8 years.*

2015 - Present (9 years)

Cetera Investment Services LLC

2015 - Present (9 years)

Cetera Investment Advisers LLC

2014 - Present (10 years)

East West Bank

2007 - 2014 (7 years)

Citigroup Global Markets Inc

*The number of years registered in this profile is calculated by taking the year of an advisor's first active registration and subtracting it from the current year.

Disclosures

Please visit the SEC profile of Horace Lam to learn whether or not they have any disclosures. It is important to do your due diligence when looking for an advisor.

Financial Advisors at Cetera Investment Advisers LLC

Michelle Yang
San Marino, CA
Kevin Delvalle
Jacksonville, FL
Erin Mcclain
Philadelphia, PA
Howard Hsieh
Irvine, CA
Michael Nelson
Anaheim, CA
Randall Scott
Knoxville, TN
Robert Bodnar
Pittsburgh, PA
Allan Proske
Freehold, NJ

The content in this profile was updated by SmartAsset on 4/16/2023. All advisor details come from publicly available data, and we cannot guarantee the accuracy of the content. We are unable to make individual profile updates. If you want your profile removed temporarily or permanently, please contact profile-compliance@smartasset.com.

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Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the certification marks CFP® and CERTIFIED FINANCIAL PLANNER™ in the United States, which it authorizes the use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.

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