Caitlin Lam (CRD# 6933979) is an Investment Advisor Representative working at Mma Securities LLC in Minneapolis, MN and has over 5 years of experience in the finance industry.
CRD# 2773901
Edward Jones
CRD# 5002363
Lundeen Abrams Advisors, LLC
CRD# 6559296
Ubs Financial Services Inc.
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Marsh And Mclennan Agency | Minneapolis, MN | Mar 2018 - Current | 6 |
| Mma Securities | Minneapolis, MN | Mar 2018 - Current | 6 |
| Lurie, LLP | Minneapolis, MN | May 2016 - Feb 2018 | 1 |
| Wells Fargo | Minneapolis, MN | Aug 2010 - May 2016 | 5 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Mar 2019 |
| S65 | NASAA Investment Advisors Law Examination | Dec 2023 |
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.
Get Details on the FINRA Advisor Check site- MN
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Total Assets Under Management0MILLIONS
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Total Number of Accounts0ACCOUNTS
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Average Account Value$0
- Hourly charges
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