Best Investors Account Sign in

Suzy Lam

J.P. Morgan Securities LLC

Elk Grove, CA

Claim This Profile
Current Employers
J.P. Morgan Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2015-04-27
TX RA APPROVED 2015-04-27
  • CA RA
    APPROVED
    Since 2015-04-27
  • TX RA
    APPROVED
    Since 2015-04-27

Branch Locations

7427 Laguna Blvd Suite 120, Elk Grove, CA 95758 • 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
Jp Morgan Securities Llc San Francisco CA 04/2015 Present
Previous Registrations
  • 2013-11-12 → 2015-04-17
    Td Ameritrade, Inc.
    San Francisco, CA
    Campbell, CA
  • 2013-11-12 → 2015-04-17
    Td Ameritrade Investment Management, Llc
    San Francisco, CA
    Campbell, CA
  • 2010-11-16 → 2013-09-03
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Walnut Creek, CA
  • 2010-07-05 → 2010-09-17
    Waddell & Reed
    San Mateo, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-07-03
  • S66 Uniform Combined State Law Examination
    2010-07-03
Other Names
  • Suzy Lam-Mukai
  • Suzy Lam-Mukai

View on SEC IAPD

Other Firms

EDWARD JONES
COMMONWEALTH FINANCIAL NETWORK
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
STATE FARM INVESTMENT MANAGEMENT CORP.
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
U.S. BANCORP ADVISORS, LLC
WELLS FARGO CLEARING SERVICES, LLC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Other Investors

Mark Alan Thomas
Philip R Waelbrock
Vidal Velez
Charles Romualdez
BRYAN KEITH CHEW
MARITES JANE AVILA
Yun Chen
Leslie Michelle Sategna

Other Offices

EDWARD JONES · ELK GROVE, CA
COMMONWEALTH FINANCIAL NETWORK · Elk Grove, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · ELK GROVE, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · Elk Grove, CA
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. · Elk Grove, CA
U.S. BANCORP ADVISORS, LLC · Elk Grove, CA
WELLS FARGO CLEARING SERVICES, LLC · ELK GROVE, CA
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Elk Grove, CA

More in Elk Grove, CA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor