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Caitlin Margaret Lam

Mma Securities LLC

Minneapolis, MN

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Current Employers
Mma Securities Llc

1166 Avenue Of The Americas, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
MI RA APPROVED 2025-06-24
MN RA APPROVED 2024-01-02
  • MI RA
    APPROVED
    Since 2025-06-24
  • MN RA
    APPROVED
    Since 2024-01-02

Branch Locations

6160 Golden Hills Drive, Minneapolis, MN 55416 • United States

Disclosures

1 disclosure category 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 No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Marsh And Mclennan Agency Minneapolis MN 03/2018 Present
Lurie, Llp Minneapolis MN 05/2016 02/2018
Mma Securities Minneapolis MN 03/2018 Present
  • 03/2018 → Present
    Marsh And Mclennan Agency
    Minneapolis, MN
  • 05/2016 → 02/2018
    Lurie, Llp
    Minneapolis, MN
  • 03/2018 → Present
    Mma Securities
    Minneapolis, MN
Other Businesses

The Registered Representative is an employee of Marsh & McLennan Agency LLC ("MMA"), 1166 Avenue of the Americas, New York, NY 10036), an affiliate of MMA Securities LLC. The Registered Representative conducts non-investment related business activities for MMA (e.g. support for its insurance services). These other business activities are not subject to broker-dealer licensing and registration requirements. All MMA Securities LLC activities remain subject to the Firm's supervisory framework.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-12-30
S63 Uniform Securities Agent State Law Examination 2019-03-28
  • S65 Uniform Investment Adviser Law Examination
    2023-12-30
  • S63 Uniform Securities Agent State Law Examination
    2019-03-28
Other Names
  • Caitlin Lam

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