David Lam
Investment adviser representative at Aegis Capital Corp.
10 yearsExperience
2 statesRegistered in
$1.8BFirm assets
16 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourly
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
Experience
10 years in the industry.
- Aegis Capital Corp.Sep 2026 to now
- Ameriprise Financial Services, LLCFeb 2025 to Aug 2026
- Morgan StanleySep 2023 to Jan 2025
- Fisher InvestmentsNov 2016 to Sep 2023
Exams passed
- Series 65 · Uniform Investment Adviser Law2018
- Series 63 · Uniform Securities Agent State Law2024
State registrations
Registered as an investment adviser representative in 2 states (CA, TX).
Aegis Capital Corp.
$1.8BAssets managed
3,083Clients
97Advisers
16 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 7007842
- Firm CRD
- 15007