Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tony tat yan? Claim Your ProfileTony Lam is a financial advisor with LPL Financial LLC. Tony has been a registered representative for over 11 years and holds the Series 63, Series 65, Series 7, and SIE licenses. Tony has been with LPL Financial LLC since July of 2023. Prior to this, Tony was a financial advisor at BANCWEST INVESTMENT SERVICES, INC. and U.S. BANCORP INVESTMENTS, INC. Tony also held positions with J.P. MORGAN SECURITIES LLC, CHASE INVESTMENT SERVICES CORP, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, and CITIGROUP GLOBAL MARKETS 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.
Consulting and other non-discretionary advisory services
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.
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2
CA
07/19/2023 - Present
LPL Financial LLC (PASADENA CA)
CA
08/24/2018 - 07/19/2023
BANCWEST INVESTMENT SERVICES, INC. (PASADENA CA)
CA
04/06/2015 - 08/18/2017
U.S. BANCORP INVESTMENTS, INC. (UPLAND CA)
CA
10/01/2012 - 04/16/2015
J.P. MORGAN SECURITIES LLC (DIAMOND BAR CA)
CA
09/20/2012 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (SAN FRANCISCO CA)
NY
07/06/2011 - 09/04/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
CA
12/02/2010 - 06/15/2011
CITIGROUP GLOBAL MARKETS INC. (SAN FRANCISCO CA)
IA
Issued 10/06/2011
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/10/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/01/2010
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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