Scott Lam

Employer firm

Kestra Advisory Services, LLC CRD 283330

$79.8B regulatory AUM 6,392 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2011 → Present
  Lpl Financial
  Alhambra, CA
• 04/2016 → Present
  Kestra Advisory Services, Llc
  Encino, CA
• 10/2015 → Present
  Kestra Investment Services, Llc
  Encino, CA

Previous Registrations

• 2011-06-09 → 2015-12-04
  Lpl Financial Llc
  Alhambra, CA
  Encino, CA
  Los Angeles, CA
• 2009-10-23 → 2011-06-10
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Alhambra, CA
  Westminster, CA
  Garden Grove, CA
  Pasadena, CA
• 2007-01-12 → 2009-10-23
  Banc Of America Investment Services, Inc.
  Garden Grove, CA
  Westminster, CA
  Pasadena, CA
  Alhambra, CA
• 2005-09-28 → 2007-01-12
  Citicorp Investment Services
  Alhambra, CA
  Alhambra, CA

Other Businesses

Business Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway Building 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Investment Advisor Representative Start Date: 4/4/2016 Hours per month: Up to 100% (0 to 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment advisory servicesBusiness Name: FMS Financial Partners Inc Investment Related: Yes Address: 6345 Balboa Blvd Building IV, STE 290 Encino CA 91316 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Financial advisor/registered rep Start Date: 5/1/2018 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Ensure clients investments are sound and to the clients best interests during their working years and into retirement years.

Exams

• S65 Uniform Investment Adviser Law Examination
  2005-09-26
• S63 Uniform Securities Agent State Law Examination
  2001-04-12

Other Names

• Scott Lam