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Brian Tracy Lam

Edward Jones

Mission Viejo, CA

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Current Employers
Edward Jones

12555 Manchester Rd, St. Louis, MO 63131 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2023-07-06
CA RA APPROVED 2023-06-28
  • TX RA
    APPROVED
    Since 2023-07-06
  • CA RA
    APPROVED
    Since 2023-06-28

Branch Locations

27772 Vista Del Lago Suite B-21, Mission Viejo, CA 92692 • 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
Edward Jones St. Louis MO 02/2007 08/2023
Edward Jones St Louis MO 08/2023 08/2025
Edward Jones St. Louis MO 08/2025 Present
Previous Registrations
  • 2003-06-11 → 2006-09-05
    Waddell & Reed
    Torrance, CA
    Torrance, CA
  • 2001-08-20 → 2003-03-05
    Banc Of America Investment Services, Inc.
    Thousand Oaks, CA
Other Businesses

Queens Land Inc Type: Date: 03/13/17 Title: Trad Hrs: 0 Tot Hrs: 0 Desc: No Responsibilities City-State: Honolulu HI

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-06-27
  • S66 Uniform Combined State Law Examination
    2023-06-27
Other Names
  • Brian T Lam

View on SEC IAPD

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Other Offices

J.P. MORGAN SECURITIES LLC · MISSION VIEJO, CA
WELLS FARGO CLEARING SERVICES, LLC · MISSION VIEJO, CA
PFS INVESTMENTS INC. · MISSION VIEJO, CA
CETERA INVESTMENT ADVISERS LLC · MISSION VIEJO, CA
PFS INVESTMENTS INC. · MISSION VIEJO, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · MISSION VIEJO, CA
J.P. MORGAN SECURITIES LLC · MISSION VIEJO, CA
LPL FINANCIAL LLC · RANCHO SANTA MARG, CA

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