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Detailed Report
Brian Tracy Lam
BRIAN T LAM
CRD#: 3125724
IA
Investment Adviser
B
Broker
EDWARD JONESCRD#: 250 27772 VISTA DEL LAGO
SUITE B-21
MISSION VIEJO, CA 92692
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2001 - 2003 (2 years)2 FIRMS2003 - 2006 (3 years)2 FIRMS2023 - Present (1 year)BEDWARD JONES (CRD# 250)2007 - 2011 (4 years)
License(s)

State Registrations

B
Arizona 7/5/2023
B
Nebraska 7/5/2023
B
California 6/28/2023
B
Nevada 7/5/2023
IA
California 6/28/2023
B
New Jersey 6/4/2024
B
Colorado 7/5/2023
B
North Carolina 7/5/2023
B
Connecticut 7/5/2023
B
Ohio 7/5/2023
B
Florida 7/5/2023
B
Oklahoma 7/5/2023
B
Georgia 7/5/2023
B
Oregon 7/5/2023
B
Hawaii 7/5/2023
B
Pennsylvania 8/30/2023
B
Idaho 7/5/2023
B
South Carolina 7/5/2023
B
Indiana 7/5/2023
B
South Dakota 7/5/2023
B
Iowa 7/5/2023
B
Tennessee 7/5/2023
B
Kansas 7/5/2023
B
Texas 7/5/2023
B
Louisiana 7/5/2023
IA
Texas 7/6/2023
B
Massachusetts 1/14/2025
B
Utah 7/5/2023
B
Michigan 7/5/2023
B
Washington 7/5/2023
B
Minnesota 7/5/2023
B
Wisconsin 7/5/2023
B
Missouri 7/5/2023

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
EDWARD JONES (CRD#:250)
27772 VISTA DEL LAGO SUITE B-21, MISSION VIEJO, CA 92692
Registered with this firm since 6/28/2023
B
EDWARD JONES (CRD#:250)
27772 VISTA DEL LAGO SUITE B-21, MISSION VIEJO, CA 92692
Registered with this firm since 4/28/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 04/10/2007 - 07/19/2011 EDWARD JONES (CRD#:250) LOS ANGELES, CA
IA
 06/11/2003 - 09/05/2006 WADDELL & REED, INC. (CRD#:866) TORRANCE, CA
B
 06/18/2003 - 09/05/2006 WADDELL & REED, INC. (CRD#:866) TORRANCE, CA
IA
 08/20/2001 - 03/05/2003 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) THOUSAND OAKS, CA
B
 01/31/2001 - 03/05/2003 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) BOSTON, MA
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.