Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Anita? Claim Your ProfileAnita Lam is a registered representative with UBS Financial Services Inc. Anita has been in the industry since 2003. She is licensed to provide securities services in California. Anita has previously worked at HSBC Securities (USA) Inc., Morgan Stanley, Merrill Lynch, Pierce, Fenner & Smith Incorporated and UCB Investment Services, Inc.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
CA
04/29/2016 - Present
UBS Financial Services Inc. (SAN FRANCISCO CA)
CA
08/12/2013 - 05/02/2016
HSBC SECURITIES (USA) INC. (SAN FRANCISCO CA)
CA
11/11/2011 - 08/05/2013
MORGAN STANLEY (SAN JOSE CA)
CA
09/20/2005 - 10/18/2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN FRANCISCO CA)
CA
10/08/2003 - 08/11/2005
UCB INVESTMENT SERVICES, INC. (MONTEREY PARK CA)
BOTH
Issued 05/06/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/20/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/08/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/06/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/03/2004
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/07/2003
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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