Ming Tam

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars
• PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

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

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

Current Employers

Employment History

• 09/2018 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Pasadena, CA
• 07/2017 → 09/2018
  Unemployed
  Los Angeles, CA
• 04/2016 → 07/2017
  Rogerson Kratos
  Pasadena, CA
• 10/2018 → Present
  Bank Of America, N.A.
  Pasadena, CA

Other Businesses

I have other outside business activities that generate passive income -- I am the owner of two rental properties under my name Ming Tam. I do not actively manage these properties but they are investment-related income. The first property in Pasadena, CA 91101, purchased in 2005. The second property is address in Los Angeles, CA 90042, purchased in 2010. I spend at most 1 hour each month to perform property management duties (landlord) for this other business, but that time is conducted outside of work hours (personal time). I devote zero (0) hours to this other business during securities trading hours.

Exams

• S66 Uniform Combined State Law Examination
  2019-04-08

Other Names

• Tommy Tam
• Ming Tommy Tam
• Ming Tam
• Ming D Tam
• Ming Dat Tam
• Ming Dat Tommy Tam