Tony Tat Yan Lam

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

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

Current Employers

Employment History

• 04/2015 → 08/2017
  U.S. Bancorp Investments, Inc.
  Upland, CA
• 08/2017 → 08/2018
  Unemployed
  Rowland Heights, CA
• 08/2018 → Present
  Bank Of The West
  Pasadena, CA
• 08/2018 → Present
  Bancwest Investment Services, Inc.
  Pasadena, CA
• 07/2023 → Present
  Lpl Financial Llc
  Pasadena, CA

Previous Registrations

• 2018-08-24 → 2023-07-19
  Bancwest Investment Services, Inc.
  Pasadena, CA
  Pasadena, CA
• 2015-04-07 → 2017-08-18
  U.S. Bancorp Investments, Inc.
  Upland, CA
  Upland, CA
• 2012-10-01 → 2015-04-16
  J.P. Morgan Securities Llc
  San Francisco, CA
  Diamond Bar, CA
  San Francisco, CA
• 2012-09-20 → 2012-10-01
  Chase Investment Services Corp.
  San Francisco, CA
• 2011-10-07 → 2012-09-04
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  San Francisco, CA
  New York, NY

Other Businesses

1. 05/09/2023 - BMO Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business)

Exams

• S65 Uniform Investment Adviser Law Examination
  2011-10-06
• S63 Uniform Securities Agent State Law Examination
  2011-08-10

Other Names

• Tony Lam
• Tony Tat Yan Lam