Thuan Lam has been an investment adviser representative at Providence Financial and Insurance Services since August 2022, and is not listed among the firm’s executive officers or direct owners. Thuan Lam holds a Degree in Business Finance from California State University, Fullerton.
Providence Financial and Insurance Services, Inc is a Woodland Hills, CA firm with $215M under management, 624 clients and 6 advisers across 3 offices, as of its May 2026 filing.
Thuan Lam is Client Service Advisor of Providence Financial & Insurance Services, Inc. He has over 15 years of experience in the financial advisory field. He founded and served as president of the CSUF Business Finance Alumni Chapter. His primary role at the firm is to provide additional services to clients.
Thuan Lam’s longest registration was 13 years at Lincoln Financial Securities Corporation (2008–2022). Before joining Providence Financial and Insurance Services in 2022, Thuan Lam was registered through Lincoln Financial Securities Corporation.
- – present · 4 yearsWoodland Hills, CA · Adviser representative · Firm CRD 141988
- Lincoln Financial Securities Corporation– · 13 yearsHarbor City, CA · Adviser representative · Firm CRD 3870
Investment adviser representative registrations
Thuan Lam is registered as an investment adviser representative in California, since August 2022.
- CaliforniaSince 4 August 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 18 July 2006 |
| Series 7 | General Securities Representative Examination | 4 May 2006 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Thuan Khai Lam
- CRD
- 4946292
- Firm
- Providence Financial and Insurance Services · CRD 141988
- Office
- 6320 CANOGA AVENUE, SUITE 600, Woodland Hills, CA 91367
- Registration
- Investment adviser registration
- In the industry since
- October 2006
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- providencefinancialinc.com
Where does Thuan Lam work?
Thuan Lam is an investment adviser representative registered through Providence Financial and Insurance Services, Inc since August 2022, and is not listed among the firm’s executive officers or direct owners.
Is Thuan Lam a financial advisor?
Yes. Thuan Lam has a current investment-adviser registration in California, through Providence Financial and Insurance Services since August 2022.
How many years of experience does Thuan Lam have?
Thuan Lam has 20 years in the financial industry, since October 2006, across 2 adviser firms.
What exams has Thuan Lam passed?
Thuan Lam has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in May 2006. FINRA credited Thuan Lam with the SIE, which began in October 2018.
Where did Thuan Lam work before Providence Financial and Insurance Services?
Before Providence Financial and Insurance Services, Thuan Lam was registered through Lincoln Financial Securities Corporation, April 2008 to April 2022.
Where is Thuan Lam based?
Thuan Lam’s registered office is in Woodland Hills, CA.
Is Thuan Lam registered with FINRA?
No. Thuan Lam has no current broker registration.
How can I verify Thuan Lam’s record?
Search CRD 4946292 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Thuan Lam’s full registration record.
