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Michael K Lam
MICHAEL K LAM, Michael Kit Lam
CRD#: 5080148
IA
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MORGAN STANLEYCRD#: 149777 2775 Sand Hill Road
Suite 120
Menlo Park, CA 94025
Suite 120
Menlo Park, CA 94025
0
Disclosures
17
Years of Experience
View By:
State Registrations
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Alabama 8/30/2021
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Nebraska 8/30/2021
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Alaska 8/30/2021
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Nevada 8/30/2021
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Arizona 8/30/2021
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New Hampshire 8/30/2021
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Arkansas 11/23/2021
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New Jersey 8/30/2021
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California 8/2/2021
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New Mexico 8/30/2021
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California 8/2/2021
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New York 8/30/2021
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Colorado 8/30/2021
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North Carolina 8/30/2021
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Connecticut 8/30/2021
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North Dakota 8/30/2021
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Delaware 11/23/2021
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Ohio 8/31/2021
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District of Columbia 8/30/2021
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Oklahoma 8/30/2021
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Florida 8/30/2021
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Oregon 8/30/2021
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Georgia 8/30/2021
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Pennsylvania 8/30/2021
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Hawaii 8/30/2021
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Puerto Rico 11/23/2021
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Idaho 8/30/2021
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Rhode Island 11/23/2021
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Illinois 8/30/2021
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South Carolina 11/23/2021
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Indiana 8/30/2021
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South Dakota 11/23/2021
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Iowa 8/30/2021
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Tennessee 8/30/2021
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Kansas 8/30/2021
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Texas 8/30/2021
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Kentucky 11/23/2021
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Texas 8/31/2021
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Louisiana 8/30/2021
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Utah 8/30/2021
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Maine 11/23/2021
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Vermont 11/23/2021
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Maryland 8/30/2021
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Virgin Islands 11/23/2021
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Massachusetts 8/30/2021
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Virginia 8/30/2021
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Michigan 8/30/2021
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Washington 8/30/2021
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Minnesota 8/30/2021
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West Virginia 11/23/2021
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Mississippi 8/30/2021
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Wisconsin 8/30/2021
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Missouri 8/30/2021
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Wyoming 11/23/2021
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Montana 8/30/2021
SRO Registrations
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View Exams Passed by the individual in the detailed report
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Registered with this firm since 8/2/2021
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Registered with this firm since 8/2/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/09/2021 - 08/02/2021 | SAN MATEO, CA | |
B | 02/09/2021 - 08/02/2021 | SAN MATEO, CA | |
IA | 07/02/2018 - 01/05/2021 | MENLO PARK, CA | |
B | 07/02/2018 - 01/05/2021 | MENLO PARK, CA | |
IA | 06/20/2012 - 06/05/2018 | PALO ALTO, CA | |
B | 06/20/2012 - 06/05/2018 | PALO ALTO, CA | |
IA | 06/01/2009 - 05/16/2012 | SAN FRANCISCO, CA | |
B | 06/01/2009 - 05/16/2012 | SAN FRANCISCO, CA | |
IA | 07/15/2008 - 06/01/2009 | SAN FRANCISCO, CA | |
B | 12/11/2007 - 06/01/2009 | SAN FRANCISCO, CA |
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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.
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.