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John Tat Fung Lam
JOHN TAT FUNG LAM, John Lam, Tat Fung Lam
CRD#: 6583464
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Investment Adviser
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Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 501 CASTRO ST
SAN FRANCISCO, CA 94114
Registration History
2015201620172018201920202021202220232024202520262 FIRMS2022 - Present (2 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2019 - 2022 (3 years)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2015 - 2019 (3 years)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2020 - 2022 (2 years)
License(s)

State Registrations

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Arizona 8/29/2022

B
Oregon 8/29/2022

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California 8/24/2022

B
Texas 8/29/2022

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California 8/24/2022

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Texas 8/29/2022

B
Florida 8/29/2022

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Washington 8/29/2022

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Nevada 8/29/2022

SRO Registrations

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Cboe BYX Exchange, Inc.

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Cboe BZX Exchange, Inc.

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Cboe Exchange, Inc.

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FINRA

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Nasdaq Stock Market

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New York Stock Exchange

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Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
501 CASTRO ST, SAN FRANCISCO, CA 94114
4098 24TH ST, SAN FRANCISCO, CA 94114
Registered with this firm since 8/24/2022

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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
501 CASTRO ST, SAN FRANCISCO, CA 94114
4098 24TH ST, SAN FRANCISCO, CA 94114
Registered with this firm since 8/24/2022

Previous Registration(s)
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06/08/2020 - 07/25/2022 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SAN CARLOS, CA
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01/25/2019 - 07/25/2022 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SAN CARLOS, CA
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12/19/2015 - 01/29/2019 J.P. MORGAN SECURITIES LLC (CRD#:79) SAN FRANCISCO, CA
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Broker
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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.