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SUZY LAM
SUZY LAM-MUKAI
CRD#: 5728402
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 7427 LAGUNA BLVD
SUITE 120
ELK GROVE, CA 95758
Registration History
2010201220142016201820202022202420262 FIRMS2010 - 2010 (<1 year)2 FIRMS2010 - 2013 (2 years)3 FIRMS2013 - 2015 (1 year)2 FIRMS2015 - Present (9 years)
License(s)

State Registrations

B
Arizona 4/16/2021

B
Nevada 3/23/2021

B
California 4/27/2015

B
New Jersey 5/20/2022

IA
California 4/27/2015

B
South Carolina 10/20/2023

B
Indiana 5/7/2021

B
Texas 4/27/2015

B
Iowa 2/1/2019

IA
Texas 4/27/2015

B
Montana 9/11/2018

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

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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)
7427 LAGUNA BLVD SUITE 120, ELK GROVE, CA 95758
Registered with this firm since 4/27/2015

B
J.P. MORGAN SECURITIES LLC (CRD#:79)
7427 LAGUNA BLVD SUITE 120, ELK GROVE, CA 95758
Registered with this firm since 4/27/2015

Previous Registration(s)
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IA
11/12/2013 - 04/17/2015 AMERIVEST INVESTMENT MANAGEMENT, LLC (CRD#:111514) CAMPBELL, CA
IA
11/12/2013 - 04/17/2015 TD AMERITRADE, INC. (CRD#:7870) CAMPBELL, CA
B
11/12/2013 - 04/17/2015 TD AMERITRADE, INC. (CRD#:7870) CAMPBELL, CA
IA
11/16/2010 - 09/03/2013 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) WALNUT CREEK, CA
B
11/16/2010 - 09/03/2013 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) WALNUT CREEK, CA
IA
07/05/2010 - 09/17/2010 WADDELL & REED, INC. (CRD#:866) SAN MATEO, CA
B
03/08/2010 - 09/17/2010 WADDELL & REED, INC. (CRD#:866) SAN MATEO, CA
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B
Broker
IA
Investment Adviser
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.