Holly Lam
Compliance Officer
Holly will be the new Chief Compliance Officer for Caldwell Sutter Capital, Inc., with over 15 years of leadership experience overseeing compliance programs for SEC- and FINRA-regulated investment advisers, broker dealers, private funds and muti-fund platforms. She is responsible for scaling and managing the firm's compliance and risk management framework, including policies and procedures, risk assessments, regulatory filings, and examinations, and works closely with leadership and business teams to support the firm's growth.
Holly began her career in financial services in the 2000s and has held senior compliance roles across global financial institutions and high-growth advisory platforms, leading initiatives through periods of regulatory change, platform integration, and business expansion. She graduated with honors from the University of San Francisco with a Bachelor of Science in Applied Economics and has passed all three levels of the CFA Program.
She brings a pragmatic, risk-based approach to compliance, focused on building scalable frameworks that align with business objectives and regulatory expectations. Outside of work, she can often be found on the sidelines of a soccer field supporting her two children or enjoying time with friends and family over a home-cooked meal or at a favorite restaurant.
LICENSES
Series 7 General Securities Representative
Series 9 General Securities Sales Supervisor - General
Series 10 General Securities Sales Supervisor - Options
Series 23 General Securities Principal Sales Supervisor
Series 24 General Securities Principal
Series 63 Uniform Securities Agent State Law
Phone | (415) 944-2075
Email | holly@cald.com