Mica Tieu Lam

Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2014 → 03/2018
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Los Angeles, CA
• 05/2015 → 03/2018
  Bank Of America, N.A.
  Los Angeles, CA
• 05/2018 → 11/2021
  First Republic Investment Management, Inc.
  Los Angeles, CA
• 05/2018 → 11/2021
  First Republic Securities Company, Llc
  Los Angeles, CA
• 11/2021 → Present
  Ubs Financial Services
  Los Angeles, CA

Previous Registrations

• 2018-05-16 → 2021-09-02
  J.P. Morgan Private Wealth Advisors Llc
  Los Angeles, CA
• 2014-04-09 → 2018-04-24
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Los Angeles, CA
• 2010-06-17 → 2014-04-21
  Ubs Financial Services Inc.
  Los Angeles, CA
• 2001-10-25 → 2009-02-04
  Morgan Stanley & Co. Llc
  Los Angeles, CA
  New York, NY

Other Businesses

Mica Lam & Ken Lam, Joint ownership on Condo: ,United States,Condo, rental property. Preapproval submitted.Real Estate,Condo, rental property,Proprietor / owner,Rental Condo, joint ownership with my brother, Ken Lam.Start date -1/8/2026

Exams

• S66 Uniform Combined State Law Examination
  2001-05-21

Other Names

• Mang T Lam
• Mica T Lam