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Detailed Report
Mamie H Lai
MAMIE H LAI, MAMIE H YEE
CRD#: 1668503
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 55 South Lake Avenue Pasadena Towers - Tower II
Suite 700
Pasadena, CA 91101
Registration History
199019952000200520102015202020252 FIRMS2018 - 2019 (1 year)2 FIRMS2019 - 2019 (<1 year)2 FIRMS2019 - Present (5 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2015 - 2018 (2 years)BSUNAMERICA SECURITIES, INC. (CRD# 20068)1992 - 1992 (<1 year)BANCHOR NATIONAL FINANCIAL SERV... (CRD# 5774)1990 - 1992 (1 year)BPSI SECURITIES CORPORATION (CRD# 10322)1989 - 1991 (1 year)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1987 - 1989 (1 year)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2016 - 2018 (2 years)
License(s)

State Registrations

B
Arizona 9/23/2019
B
New Mexico 9/23/2019
B
California 9/18/2019
B
New York 9/23/2019
IA
California 9/18/2019
B
North Carolina 9/23/2019
B
Colorado 9/23/2019
B
Ohio 9/24/2019
B
Delaware 9/27/2019
B
Oregon 9/23/2019
B
Florida 9/23/2019
B
Pennsylvania 7/21/2023
B
Georgia 9/23/2019
B
Rhode Island 2/25/2021
B
Hawaii 9/23/2019
B
South Carolina 12/10/2020
B
Idaho 9/23/2019
B
South Dakota 9/23/2019
B
Illinois 9/23/2019
B
Texas 9/23/2019
B
Iowa 9/23/2019
IA
Texas 3/10/2020
B
Louisiana 9/23/2019
B
Utah 9/23/2019
B
Massachusetts 9/23/2019
B
Virginia 9/23/2019
B
Michigan 9/23/2019
B
Washington 9/23/2019
B
Missouri 9/23/2019
B
Wisconsin 9/23/2019
B
Nevada 9/23/2019
B
Wyoming 9/23/2019
B
New Jersey 9/23/2019

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MORGAN STANLEY (CRD#:149777)
55 South Lake Avenue Pasadena Towers - Tower II Suite 700, Pasadena, CA 91101
Registered with this firm since 9/18/2019
B
MORGAN STANLEY (CRD#:149777)
55 South Lake Avenue Pasadena Towers - Tower II Suite 700, Pasadena, CA 91101
Registered with this firm since 9/18/2019
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 05/31/2019 - 09/20/2019 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) Pasadena, CA
B
 05/31/2019 - 09/20/2019 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) Pasadena, CA
IA
 06/27/2018 - 06/17/2019 CANTELLA & CO., INC. (CRD#:13905) PASADENA, CA
B
 06/27/2018 - 06/17/2019 CANTELLA & CO., INC. (CRD#:13905) PASADENA, CA
IA
 03/11/2016 - 07/26/2018 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PASADENA, CA
B
 12/22/2015 - 07/26/2018 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PASADENA, CA
B
 05/19/1992 - 11/10/1992 SUNAMERICA SECURITIES, INC. (CRD#:20068)
B
 08/27/1990 - 05/19/1992 ANCHOR NATIONAL FINANCIAL SERVICES, INC. (CRD#:5774)
B
 02/16/1989 - 01/15/1991 PSI SECURITIES CORPORATION (CRD#:10322)
B
 05/21/1987 - 02/21/1989 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.