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Detailed Report
Lydia Lam
PUIYIN LYDIA LAM, Lydia Kwan-yi Lam
CRD#: 5543703
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 6501 18TH AVE.
BROOKLYN, NY 11204
Registration History
20082010201220142016201820202022202420264 FIRMS2017 - 2017 (<1 year)2 FIRMS2017 - 2019 (1 year)2 FIRMS2019 - 2021 (2 years)2 FIRMS2021 - Present (3 years)BHSBC SECURITIES (USA) INC. (CRD# 19585)2008 - 2017 (8 years)IAHSBC SECURITIES (USA) INC. (CRD# 19585)2010 - 2017 (6 years)
License(s)

State Registrations

B
Colorado 2/10/2025
B
North Carolina 2/6/2023
B
Connecticut 9/14/2021
B
Pennsylvania 12/15/2023
B
Florida 1/9/2024
IA
Pennsylvania 12/18/2023
IA
Florida 7/10/2024
B
Texas 9/14/2021
B
Michigan 5/20/2022
IA
Texas 9/14/2021
B
New Jersey 9/14/2021
B
Vermont 10/12/2021
B
New York 9/14/2021
B
Washington 10/11/2023
IA
New York 9/14/2021
IA
Washington 10/11/2023

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe C2 Exchange, Inc.
B
 Cboe EDGA Exchange, Inc.
B
 Cboe EDGX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Investors' Exchange LLC
B
 Long-Term Stock Exchange, Inc.
B
 MEMX LLC
B
 MIAX Emerald, LLC
B
 MIAX PEARL, LLC
B
 MIAX Sapphire
B
 Miami International Securities Exchange, LLC
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 NYSE National, Inc.
B
 Nasdaq BX, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq MRX, LLC
B
 Nasdaq PHLX 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
J.P. MORGAN SECURITIES LLC (CRD#:79)
6501 18TH AVE., BROOKLYN, NY 11204
Registered with this firm since 9/14/2021
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
6501 18TH AVE., BROOKLYN, NY 11204
Registered with this firm since 9/14/2021
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 05/23/2019 - 09/10/2021 HSBC SECURITIES (USA) INC. (CRD#:19585) NEW YORK, NY
B
 05/22/2019 - 09/10/2021 HSBC SECURITIES (USA) INC. (CRD#:19585) NEW YORK, NY
IA
 09/26/2017 - 04/15/2019 CETERA INVESTMENT ADVISERS LLC (CRD#:105644) NEW YORK, NY
B
 09/25/2017 - 04/15/2019 CETERA INVESTMENT SERVICES LLC (CRD#:15340) NEW YORK, NY
IA
 02/28/2017 - 09/25/2017 LPL FINANCIAL LLC (CRD#:6413) NEW YORK, NY
B
 02/28/2017 - 09/25/2017 LPL FINANCIAL LLC (CRD#:6413) NEW YORK, NY
IA
 01/05/2017 - 02/28/2017 CETERA INVESTMENT ADVISERS LLC (CRD#:105644) NEW YORK, NY
B
 01/04/2017 - 02/28/2017 CETERA INVESTMENT SERVICES LLC (CRD#:15340) NEW YORK, NY
IA
 12/09/2010 - 02/03/2017 HSBC SECURITIES (USA) INC. (CRD#:19585) NEW YORK, NY
B
 07/16/2008 - 02/03/2017 HSBC SECURITIES (USA) INC. (CRD#:19585) NEW YORK, NY
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.