Tommy Lik- Kwan Lam

Employer firm

Osaic Wealth, Inc. CRD 23131

$235B regulatory AUM 56,660 advisory clients

Reported services (Item 5G)

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

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

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

Current Employers

Employment History

• 10/2011 → 07/2018
  Capital One Financial Advisors
  Melville, NY
• 01/2015 → 07/2018
  Capital One Sharebuilder, Inc.
  Little Neck, NY
• 01/2015 → 07/2018
  Sharebuilder 401K
  Seattle, WA
• 07/2018 → 01/2024
  Woodbury Financial Services, Inc.
  Bayside, NY
• 06/2006 → Present
  305 American Way Llc
  Voorhees, NJ
• 01/2024 → Present
  Osaic Wealth, Inc.
  Manhasset, NY

Previous Registrations

• 2018-07-11 → 2024-01-19
  Woodbury Financial Services, Inc.
  Manhasset, NY
  Bayside, NY
  New City, NY
  Manhasset, NY
• 2015-01-28 → 2018-07-11
  Capital One Advisors, Llc
  Seattle, WA
  Flushing, NY
  Mclean, VA
• 2011-10-06 → 2015-01-28
  Capital One Financial Advisors Llc
  Melville, NY
• 2010-01-19 → 2011-07-20
  Osaic Wealth, Inc.
  Flushing, NY
  West Orange, NJ
  West Orange, NJ
• 2007-05-29 → 2009-12-17
  Citigroup Global Markets Inc.
  Plainview, NY
  Jamaica, NY
  Plainview, NY
  Jamaica, NY
• 2004-11-09 → 2007-05-29
  Citicorp Investment Services
  Jamaica, NY
  Jamaica, NY
• 2002-07-01 → 2002-08-15
  Charles Schwab & Co., Inc.
  Edison, NJ

Other Businesses

1) SHR WEALTH MANAGEMENT LLC POSITION: Employee NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 150 SECURITIES TRADING HOURS: 130 START DATE: 07/12/2018 ADDRESS: 1615 Northern Blvd, Suite 304, Manhasset NY 11030, United States DESCRIPTION: I am an independent financial advisor working at this office branch. My duties are to manage client's assets by recommending various investment products and building relationships. 2) GOLDENCARE SOLUTION SERVICES LLC POSITION: Members NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 0 START DATE: 07/11/2025 ADDRESS: 162-07 Cryders Ln, 150th street, Whitestone NY 11357, United States DESCRIPTION: Provide Medicare supplement plan selection to client.

Exams

• S66 Uniform Combined State Law Examination
  2002-06-28
• S63 Uniform Securities Agent State Law Examination
  1999-01-27

Other Names

• Likkwan Lam
• Tom Lam
• Tommy Likkwan Lam