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Kathy Ngoc-Ha Lam

Citigroup Global Markets Inc.

Cupertino, CA

San Jose, CA

San Francisco, CA

San Jose, CA

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Current Employers
Citigroup Global Markets Inc.

388 Greenwich Street, New York, NY 10013 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2020-10-08
  • CA RA
    APPROVED
    Since 2020-10-08

Branch Locations

Cwm Retail, Sales 19300 Stevens Creek Boulevard, Cupertino, CA 95014 • United States

Citi Retail Banking 2189 Quimby Road, San Jose, CA 95122 • United States

Citi Wealth Management, Sales One Market Plaza, 40Th Fl, San Francisco, CA 94105 • United States

Citi Retail Banking 2830 Alum Rock Ave, San Jose, CA 95127 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Citigroup Fremont CA 10/2013 Present
  • 10/2013 → Present
    Citigroup
    Fremont, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-05-28
S63 Uniform Securities Agent State Law Examination 2012-12-17
  • S66 Uniform Combined State Law Examination
    2020-05-28
  • S63 Uniform Securities Agent State Law Examination
    2012-12-17
Other Names
  • Kathy Ngoc Ha Lam
  • Kathy Ha Ngoc Lam
  • Kathy N Lam
  • Kathy N Lam

View on SEC IAPD

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Other Offices

CHARLES SCHWAB & CO., INC. · Cupertino, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · CUPERTINO, CA
EVEREST PRIVATE WEALTH · CUPERTINO, CA
AIMTOP ADVISORS, LLC · CUPERTINO, CA
AKRISH FINANCIAL ADVISORY · CUPERTINO, CA
FV ADVISORS LLC · CUPERTINO, CA
MINOVA CAPITAL LLC · CUPERTINO, CA
CAPITAL V GROUP LLC · CUPERTINO, CA

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