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Julian Gar-Sing Lam

Schwab Wealth Advisory, Inc.

San Francisco, CA

CRD 6117908

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Employer firm

Schwab Wealth Advisory, Inc. CRD 159035

168,774 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)

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

Current Employers
Schwab Wealth Advisory, Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2020-01-06
CA RA APPROVED 2017-03-03
  • TX RA
    APPROVED
    Since 2020-01-06
  • CA RA
    APPROVED
    Since 2017-03-03

Branch Locations

425 Market Street Floor 17, San Francisco, CA 94105 • 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
Fisher Investments Woodside CA 08/2011 01/2017
Charles Schwab & Co., Inc. San Francisco CA 01/2017 Present
Schwab Wealth Advisory Inc San Francisco CA 01/2017 Present
Previous Registrations
Other Businesses

1) Uber | Investment Related:No|1455 Market Street, 4th Floor|San Francisco|CA|94103|USA|Restaurant/Food Services|Uber Eats Delivery|5/3/2019|Less than 20|0|Food delivery service

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2017-06-30
S65 Uniform Investment Adviser Law Examination 2012-12-19
  • S63 Uniform Securities Agent State Law Examination
    2017-06-30
  • S65 Uniform Investment Adviser Law Examination
    2012-12-19
Other Names
  • Julian Gar-Sing Lam

View on SEC IAPD

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