Individual Firm
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LILY CHANLEI KAM
CHANLEI KAM
CRD#: 3004861
IA
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WELLS FARGO ADVISORSCRD#: 19616 444 E HUNTINGTON DR
ARCADIA, CA 91006
ARCADIA, CA 91006
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2/26/2010
Customer Dispute
Closed-No Action
State Registrations
B
Arizona 12/16/2022
B
District of Columbia 1/14/2025
B
Arkansas 9/8/2022
B
Nevada 10/26/2022
B
California 9/18/2015
B
New York 9/20/2022
IA
California 9/21/2015
B
Washington 10/17/2023
B
Delaware 6/15/2022
SRO Registrations
B
B
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 9/21/2015
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Registered with this firm since 9/18/2015
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/23/2009 - 09/21/2015 | ARCADIA, CA | |
B | 10/23/2009 - 09/21/2015 | ARCADIA, CA | |
IA | 06/26/2007 - 10/23/2009 | MONTEREY PARK, CA | |
B | 06/26/2007 - 10/23/2009 | MONTEREY PARK, CA | |
IA | 11/18/2005 - 05/23/2007 | ARCADIA, CA | |
B | 11/18/2005 - 05/23/2007 | ARCADIA, CA | |
IA | 06/11/2004 - 10/06/2005 | PASADENA, CA | |
B | 05/13/2004 - 10/06/2005 | NEW YORK, NY | |
B | 04/17/2000 - 05/13/2004 | NEW YORK, NY | |
B | 10/04/1999 - 05/03/2000 | PURCHASE, NY |
For additional information about investment advisers or broker-dealers, please visit
B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.