Annie Lam

J.P. Morgan Securities LLC

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Current Employers

J.P. Morgan Securities Llc

270 Park Avenue, New York, NY 10017 • United States

Current Registrations

Authority	Category	Status	Date
IL	RA	APPROVED	2022-09-15
TX	RA	APPROVED_RES	2022-09-15

IL RA
APPROVED

Since 2022-09-15
TX RA
APPROVED_RES

Since 2022-09-15

Branch Locations

10 S. Dearborn Street Floor 11, Chicago, IL 60603 • United States

1111 Polaris Parkway, Floor 4J, Columbus, OH 43240 • 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

Organization	City	State	From	To
Metlife Securities Inc	Downers Grove	IL	03/2012	03/2017
Massmutual Life Insurance Co	Chicago	IL	07/2016	08/2022
Mml Investors Services, Llc	Chicago	IL	03/2017	08/2022
J.P. Morgan Securities Llc	Chicago	IL	08/2022	Present
Msi Financial Services, Inc	Chicago	IL	03/2012	03/2017

03/2012 → 03/2017

Metlife Securities Inc

Downers Grove, IL
07/2016 → 08/2022

Massmutual Life Insurance Co

Chicago, IL
03/2017 → 08/2022

Mml Investors Services, Llc

Chicago, IL
08/2022 → Present

J.P. Morgan Securities Llc

Chicago, IL
03/2012 → 03/2017

Msi Financial Services, Inc

Chicago, IL

Previous Registrations

2017-03-25 → 2022-08-22

Mml Investors Services, Llc

Lisle, IL

Chicago, IL
2013-03-05 → 2017-03-25

Msi Financial Services, Inc.

Downers Grove, IL

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2013-02-26
S63	Uniform Securities Agent State Law Examination	2012-06-26

S65 Uniform Investment Adviser Law Examination

2013-02-26
S63 Uniform Securities Agent State Law Examination

2012-06-26

View on SEC IAPD

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