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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2017-05-08 |
| CA | RA | APPROVED | 2016-08-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Pasadena | CA | 04/2016 | Present |
| Bank Of America, N.A. | Pasadena | CA | 10/2016 | Present |
I*127460 For profit or not for profit: For-Profit Organization Name of outside business organization: Lam Family Real Estate Management LLC Investment related: N Address of business: Monrovia, California 91016 Nature of business: LLC, Position, title, association: Participant, Start date of relationship: 10/17/2019 Number of hours devoted: 4 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: property management company. helping parents manage their rental property.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-07-29 |
| S63 | Uniform Securities Agent State Law Examination | 2012-11-30 |
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