Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Anna? Claim Your ProfileAnna Lam is a financial advisor with J.p. Morgan Securities LLC, working out of their Newport Beach, CA office. Anna has been working in the financial industry for over 18 years and has extensive experience in both investment advisory and brokerage services. Anna has a broad range of licenses and certifications including Series 7, 9, 10, 66 and SIE. Anna's experience spans multiple firms including Wells Fargo Advisors, LLC, UBS Financial Services Inc., and Credit Suisse Securities (USA) LLC. Anna is registered with the Securities and Exchange Commission (SEC) and is a member of the Financial Industry Regulatory Authority (FINRA).
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
CA
06/24/2024 - Present
J.p. Morgan Securities LLC (NEWPORT BEACH CA)
NJ
10/08/2018 - 06/13/2024
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
CA
10/01/2015 - 09/27/2018
WELLS FARGO CLEARING SERVICES, LLC (LOS ANGELES CA)
NY
03/08/2013 - 10/19/2015
CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)
CA
01/03/2011 - 03/04/2013
WELLS FARGO ADVISORS, LLC (LOS ANGELES CA)
CA
08/21/2009 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (EL SEGUNDO CA)
CA
01/07/2008 - 08/31/2009
WELLS FARGO INSTITUTIONAL SECURITIES, LLC (IRVINE CA)
CA
02/17/2006 - 12/21/2007
WELLS FARGO INVESTMENTS, LLC (RANCHO CUCAMONGA CA)
BOTH
Issued 02/24/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/02/2011
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/28/2011
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 09/27/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/16/2006
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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