Thomas Lam Email & Phone Number

Irvine, Ca, Us

Irvine, Ca

Here, I provide investment solutions and achieve high client retention rates providing each client with valuable service offerings by fulfilling the role of trusted advisor. Manage a large number of accounts and conduct complex client and partner presentations and meetings on the firm's investment strategy, account performance and new products. Also responsible for promoting core values, competitive position and profitable growth of HighMark. ➥ Manage individual, trust, and model-based accounts to ensure they are consistent with the client's established short and/or long term investment policies while utilizing HighMark's investment philosophy.➥ Responsible for constructing portfolios and developing investment policies that maximize portfolio performance consistent with the client's investment objectives and acceptable level of risk.➥ Strong focus on managing client account retention to meet the company's annual growth objectives and to supporting multiple product distribution team members. ➥ Develop new and deepen existing client and partner relationships to support new business development, relationship management, and marketing in order to support investment needs.➥ Promote the role of trusted advisor and be able to resolve complex client account issues while providing an extraordinary client experience.➥ Actively ensure compliance with the Bank's Code of Ethics, Anti-Money Laundering, Bank Secrecy Act, information security and suspicious activity reporting requirements.➥ Responsible for all fiduciary, OCC, and SEC compliance related activities within managed accounts.

Costa Mesa, Ca

In this position, I provided strategic leadership and direction to drive portfolio management and trading. I served as the execution trader for ETFs, CEFs, mutual funds, equities, fixed income, and listed options. I researched, selected, and monitored positions within each model as a key member of the investment team with trading desks and ETF authorized participants to ensure optimal pricing and liquidity. I also prepared and presented investor-focused market and security analysis reports for dissemination to clients and prospects. I managed individual portfolios to support adherence to targeted cash, asset class, sector, and security weightings.➥ Defined a sustainable, repeatable Portfolio Management process while ensuring proper risk management parameters.➥ Introduced a trading-oriented newsletter “Traders Edge” in 2016, attaining 100+ subscribers. ➥ Presented at Wealth Management industry events to educate investors, share market opinion, provide strategy, and promote newsletter and wealth management services. ➥ Expanded assets value by over 65% by planning and introducing new portfolios with a different product mix.

New York, New York, United States

In this position, I single-handedly managed end-to-end operations, including strategic initiatives, portfolio, and trading activities. Served as the execution trader for domestic/international equities, fixed income, and listed options. I identified various exchange venues, ECN’s, dark pools, and algorithms while leveraging sell-side relationships to execute large blocks or thinly traded securities. I also collected and provided market information to portfolio managers and analysts that may impact volume or price of securities traded. I prepared and presented ad hoc reports, trade ideas, recommendations, and hedging strategies to portfolio managers. ➥ Led the budgeting and implementation of commissions for hard and soft dollar commitments.➥ Built and sustained strong relationships with all counterparties and brokers or dealers.

New York, New York, United States

In this position, I executed trading for domestic and international convertible bonds, including equity and option trades, in both an outright and hedged or delta neutral capacity covering multiple portfolio managers. I analyzed and monitored markets and positions to generate ideas and to react to any pertinent news.➥ Captured a profit of over $1.5MM through planning and beta testing of an automated algorithmic equity execution program to capitalize on market volatility and natural stock movements.

New York, New York, United States

In this position, I was responsible for the daily and monthly administration of 136 institutional accounts for 12 portfolio managers representing a combined total equity of approximately $3.7BN.

Bs, Business Administration

Certificate Of Financial Planning