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Detailed Report
Jennifer Lam
JEN LAM, JENNIFER H LAM, JENNIFER HOR-YUN LAM, JENNIFER LAM
CRD#: 5487789
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Investment Adviser
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Previous Broker
MARINER WEALTHCRD#: 140195 San Bruno, CA
Registration History
2008201020122014201620182020202220242026IAMARINER WEALTH (CRD# 140195)2024 - Present (<1 year)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2023 - 2024 (<1 year)BFIRST REPUBLIC SECURITIES COMP... (CRD# 105108)2019 - 2023 (4 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2013 - 2019 (5 years)BBANC OF AMERICA INVESTMENT SER... (CRD# 16361)2008 - 2009 (1 year)IAJ.P. MORGAN PRIVATE WEALTH ADV... (CRD# 108559)2019 - 2024 (4 years)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2016 - 2019 (2 years)
License(s)

State Registrations

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California 6/12/2024
Current Registration(s)
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MARINER WEALTH (CRD#:140195)
San Bruno, CA
Registered with this firm since 6/12/2024
Previous Registration(s)
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 07/10/2019 - 05/20/2024 J.P. MORGAN PRIVATE WEALTH ADVISORS LLC (CRD#:108559) San Francisco, CA
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 09/29/2023 - 05/18/2024 J.P. MORGAN SECURITIES LLC (CRD#:79) San Francisco, CA
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 07/08/2019 - 09/29/2023 FIRST REPUBLIC SECURITIES COMPANY, LLC (CRD#:105108) San Francisco, CA
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 07/01/2016 - 06/26/2019 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SAN FRANCISCO, CA
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 10/21/2013 - 06/26/2019 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SAN FRANCISCO, CA
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 02/26/2008 - 04/28/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) OAKLAND, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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
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.