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Caitlin Lam
6 Years of Experience
Minneapolis, MN
1 DisclosureBroker
Caitlin Lam is a registered investment advisor at Mma Securities LLC, based in Minneapolis, MN, with 6 years of industry experience. Their practice areas include Retirement Planning. Their firm serves 8,394 clients.
Compensation
Commission-BasedFixed/Hourly
Firm Size
162 advisors
Number of Clients
8,394 clients
Average Client Portfolio
Not specified
Fee Structure
Investment management only (planning not offered)
MMA Securities offers two services through a subadviser, Empower Advisory Group (EAG):
- In-Plan Advice (Online Advice Service): This service provides online guidance and investment advice, but you implement the recommendations yourself. There is no fee charged directly to plan participants for using this service.
- MMA MyPath (Managed Account Service): This service manages your retirement account for you. Participants in this service pay an annual asset-based fee. The fee covers costs associated with providing the service, including expenses payable to EAG and other service providers. MMA Securities does not retain any portion of this fee.
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Location
6160 Golden Hills Drive, Minneapolis, MN, 55416
Get directionsHistory
Regulatory History (1)
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Criminal
May 2008Final Disposition
Employment History
Current Registrations
Mma Securities LLC
January 2024 - Present · 2 yrs 6 mos
Mma Securities LLCBroker
July 2019 - Present · 7 yrs
State Registrations2 states
MIMN
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.