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Melissa Lam

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Pasadena, CA

Palo Alto, CA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-10-07
  • CA RA
    APPROVED
    Since 2025-10-07

Branch Locations

800 E Colorado Blvd, Pasadena, CA 91101 • United States

3075 Hansen Way, Palo Alto, CA 94304 • 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
Citigroup Global Markets Inc. San Francisco CA 05/2007 04/2018
Merrill Lynch, Pierce, Fenner & Smith Incorporated Palo Alto CA 03/2019 05/2022
Citigroup Palo Alto CA 05/2022 09/2025
Unemployed San Mateo CA 04/2018 03/2019
Merrill Lynch, Pierce, Fenner & Smith Incorporated Walnut Creek CA 09/2025 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-10-10
S63 Uniform Securities Agent State Law Examination 2006-09-05
  • S66 Uniform Combined State Law Examination
    2022-10-10
  • S63 Uniform Securities Agent State Law Examination
    2006-09-05
Other Names
  • Melissa Lok Yan Lam
  • Melissa Lam
  • Melissa Lam
  • Melissa Lok-Yan Lam

View on SEC IAPD

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Other Offices

CMR CAPITAL MANAGEMENT, LLC · PASADENA, CA
STRATEGY ASSET MANAGERS L.L.C. · PASADENA, CA
MML INVESTORS SERVICES, LLC · Pasadena, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · PASADENA, CA
NASDAQ DORSEY WRIGHT · Pasadena, CA
U.S. BANCORP ADVISORS, LLC · Pasadena, CA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Pasadena, CA
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