Best Investors Account Sign in

Roger Sen Boon Lam

Hightower Advisors, LLC

Chicago, IL

San Ramon, CA

Claim This Profile
Current Employers
Hightower Advisors, Llc

200 W. Madison St. Suite 2500, Chicago, IL 60606 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2024-10-11
  • CA RA
    APPROVED
    Since 2024-10-11

Branch Locations

200 W. Madison St. Suite 2500, Chicago, IL 60606 • United States

3160 Crow Canyon Road Suite 290, San Ramon, CA 94583 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs International Inc. Central 03/2008 09/2017
Ubs Financial Services Inc. Central 01/2010 09/2017
Wells Fargo Clearing Services, Llc San Francisco CA 06/2023 08/2024
Wells Fargo Bank, Na San Francisco CA 06/2023 08/2024
Coyote Partners Shenzhen 02/2022 02/2023
Lwm International Beijing 02/2020 02/2022
Lam Trading Beijing 11/2017 02/2020
Lam Trading San Francisco CA 03/2023 06/2023
Hightower Advisors, Llc San Ramon CA 09/2024 Present
  • 03/2008 → 09/2017
    Ubs International Inc.
    Central
  • 01/2010 → 09/2017
    Ubs Financial Services Inc.
    Central
  • 06/2023 → 08/2024
    Wells Fargo Clearing Services, Llc
    San Francisco, CA
  • 06/2023 → 08/2024
    Wells Fargo Bank, Na
    San Francisco, CA
  • 02/2022 → 02/2023
    Coyote Partners
    Shenzhen
  • 02/2020 → 02/2022
    Lwm International
    Beijing
  • 11/2017 → 02/2020
    Lam Trading
    Beijing
  • 03/2023 → 06/2023
    Lam Trading
    San Francisco, CA
  • 09/2024 → Present
    Hightower Advisors, Llc
    San Ramon, CA
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-05-24
S63 Uniform Securities Agent State Law Examination 2023-09-15
  • S65 Uniform Investment Adviser Law Examination
    2024-05-24
  • S63 Uniform Securities Agent State Law Examination
    2023-09-15
Other Names
  • Roger Sen Boon Lam
  • Roger Senboon Lam

View on SEC IAPD

Other Firms

BROWNSON, REHMUS & FOXWORTH, INC.
PFINGSTEN PARTNERS, L.L.C.
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
GUGGENHEIM INVESTMENTS
PEKIN HARDY STRAUSS, INC.
SPIDERROCK ADVISORS, LLC
PROSPECT PARTNERS ADVISORS LLC
DOYENNE WEALTH ADVISORS

Other Investors

James Michael Franch
HAROLD NELSON LEAVELL
CARLYLE KELLY MADDEN
PHILIP JOHN RIDOLPHI
SUSAN MARY SHACKLETTE
KRISTI LYNN MILLS
NATHANIEL MITCHELL COLEMAN
KEITH MATTHEW CARDOZA

Other Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL
GUGGENHEIM INVESTMENTS · CHICAGO, IL
PEKIN HARDY STRAUSS, INC. · CHICAGO, IL
SPIDERROCK ADVISORS, LLC · CHICAGO, IL
PROSPECT PARTNERS ADVISORS LLC · CHICAGO, IL
DOYENNE WEALTH ADVISORS · CHICAGO, IL

More in Chicago, IL

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor