Samuel Chi Tat Lam

Current Employers

Capitol Securities Management, Inc.

4050 Innslake Drive Suite 250, Glen Allen, VA 23060 • United States

Current Registrations

Authority	Category	Status	Date
MD	RA	APPROVED	2016-10-18
VA	RA	APPROVED	2016-10-04

MD RA
APPROVED

Since 2016-10-18
VA RA
APPROVED

Since 2016-10-04

Branch Locations

12100 Sunset Hills Road Suite 100, Reston, VA 20190 • United States

4050 Innslake Drive Suite 250, Glen Allen, VA 23060 • United States

Disclosures

3 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action Yes
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination Yes

Employment History

Organization	City	State	From	To
Capitol Securities Management	Reston	VA	07/2016	Present

07/2016 → Present

Capitol Securities Management

Reston, VA

Previous Registrations

2009-12-16 → 2016-06-24

Wells Fargo Clearing Services, Llc

Rockville, MD

Bethesda, MD

Columbia, MD

Washington, DC

Columbia, MD

Rockville, MD

Rockville, MD
2007-05-29 → 2009-12-17

Citigroup Global Markets Inc.

Rockville, MD

Rockville, MD

Washington, DC

Washington, DC
2002-06-24 → 2007-05-29

Citicorp Investment Services

Washington, DC

Washington, DC

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2001-08-02
S63	Uniform Securities Agent State Law Examination	1999-08-20

S65 Uniform Investment Adviser Law Examination

2001-08-02
S63 Uniform Securities Agent State Law Examination

1999-08-20

Other Names

Samuel Chi Tat Lam
Samuel Chitat Lam

View on SEC IAPD

Current Employers

Capitol Securities Management, Inc.

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

Other Investors

Other Offices

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