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JAMES T LAM
CRD#: 3076426
IA
Investment Adviser
B
Broker
OSAIC WEALTH, INC.CRD#: 23131 2300 WINDY RIDGE PARKWAY
SUITE 1100
ATLANTA, GA 30339
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2011 - 2023 (12 years)2 FIRMS2014 - 2024 (9 years)2 FIRMS2021 - 2024 (3 years)IAOSAIC WEALTH, INC. (CRD# 23131)2023 - Present (1 year)BOSAIC WEALTH, INC. (CRD# 23131)2011 - Present (14 years)BFSC SECURITIES CORPORATION (CRD# 7461)2004 - 2023 (19 years)BVALIC FINANCIAL ADVISORS, INC. (CRD# 42803)2015 - 2016 (<1 year)BE*TRADE CLEARING LLC (CRD# 25025)2002 - 2003 (<1 year)BE*TRADE SECURITIES LLC (CRD# 29106)1999 - 2002 (3 years)
License(s)

State Registrations

IA
California 8/1/2023

IA
Georgia 11/3/2023

B
Georgia 8/1/2023

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
OSAIC WEALTH, INC. (CRD#:23131)
2300 WINDY RIDGE PARKWAY SUITE 1100, ATLANTA, GA 30339
Registered with this firm since 8/1/2023

B
OSAIC WEALTH, INC. (CRD#:23131)
2300 WINDY RIDGE PARKWAY SUITE 1100, ATLANTA, GA 30339
Registered with this firm since 2/22/2011

Previous Registration(s)
th hidden textth hidden textNameLocation
B
04/22/2021 - 08/23/2024 TRIAD ADVISORS LLC (CRD#:25803) ATLANTA, GA
B
04/22/2021 - 06/14/2024 SECURITIES AMERICA, INC. (CRD#:10205) LAVISTA, NE
IA
11/10/2014 - 01/19/2024 WOODBURY FINANCIAL SERVICES, INC. (CRD#:421) ATLANTA, GA
B
10/16/2014 - 01/19/2024 WOODBURY FINANCIAL SERVICES, INC. (CRD#:421) OAKDALE, MN
IA
11/15/2011 - 11/03/2023 FSC SECURITIES CORPORATION (CRD#:7461) ATLANTA, GA
B
06/15/2004 - 11/03/2023 FSC SECURITIES CORPORATION (CRD#:7461) ATLANTA, GA
B
02/22/2011 - 09/01/2023 SAGEPOINT FINANCIAL, INC. (CRD#:133763) SCOTTSDALE, AZ
B
12/16/2015 - 03/10/2016 VALIC FINANCIAL ADVISORS, INC. (CRD#:42803) HOUSTON, TX
B
09/03/2002 - 07/07/2003 E*TRADE CLEARING LLC (CRD#:25025) JERSEY CITY, NJ
B
04/28/1999 - 09/03/2002 E*TRADE SECURITIES LLC (CRD#:29106) JERSEY CITY, NJ
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B
Broker
IA
Investment Adviser
Disclosures
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.