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Anna Lam

J.P. Morgan Securities LLC

Columbus, OH

Newport Beach, CA

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Current Employers
J.P. Morgan Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2024-06-24
TX RA APPROVED_RES 2024-06-24
  • CA RA
    APPROVED
    Since 2024-06-24
  • TX RA
    APPROVED_RES
    Since 2024-06-24

Branch Locations

1111 Polaris Parkway, Floor 3J, Columbus, OH 43240 • United States

660 Newport Center Drive Suite 750, Newport Beach, CA 92660 • 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
Wells Fargo Clearing Services, Llc Orange County CA 10/2015 09/2018
Ubs Financial Services Inc Los Angeles CA 10/2018 05/2024
J.P. Morgan Securities Llc Los Angeles CA 06/2024 Present
Previous Registrations
  • 2018-10-08 → 2024-06-13
    Ubs Financial Services Inc.
    Los Angeles, CA
    Weehawken, NJ
  • 2015-10-02 → 2018-09-27
    Wells Fargo Clearing Services, Llc
    Newport Beach, CA
    Los Angeles, CA
    Irvine, CA
  • 2013-03-11 → 2015-10-19
    Credit Suisse Securities (Usa) Llc
    Los Angeles, CA
    New York, NY
  • 2011-01-03 → 2013-03-04
    Wells Fargo Clearing Services, Llc
    El Segundo, CA
    El Segundo, CA
    El Segundo, CA
  • 2009-08-21 → 2011-01-03
    Wells Fargo Investments, Llc
    El Segundo, CA
  • 2006-02-27 → 2007-12-21
    Wells Fargo Investments, Llc
    Upland, CA
    Rancho Cucamonga, CA
    Los Angeles, CA
    Los Angeles, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-02-24
  • S66 Uniform Combined State Law Examination
    2006-02-24
Other Names
  • Anna Lam

View on SEC IAPD

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Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · COLUMBUS, OH
EDELMAN FINANCIAL ENGINES · COLUMBUS, OH
ACCOLADE ASSET/LIABILITY ADVISORY SERVICES · COLUMBUS, OH
SIGNATURE EQUITY PARTNERS, LLC · Columbus, OH
STRATEGIC ADVISERS LLC · COLUMBUS, OH
PARK AVENUE SECURITIES LLC · COLUMBUS, OH
W&S BROKERAGE SERVICES, INC. · Columbus, OH
AMERIPRISE FINANCIAL SERVICES, LLC · COLUMBUS, OH

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