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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

Anna Lam

Advisor at J.P. MORGAN SECURITIES LLC

Columbus, OH | NEWPORT BEACH, CA

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Search this name across graphsid dfx:ria:a6be309d-8dbc-66fa-5b56-233a967f8309

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:40 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Feb 27, 2006 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: J.P. MORGAN SECURITIES LLC
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 24, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Feb 24, 2006
First registration: Feb 27, 2006
Dual registered: yes, broker-dealer
Other names: ANNA LAM
IAPD individual key: 5084189

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
J.P. MORGAN SECURITIES LLC	Wirehouse	Jun 24, 2024	n/a	yes	Columbus, OH\|NEWPORT BEACH, CA	Current employment
UBS FINANCIAL SERVICES INC.	Wirehouse	Oct 8, 2018	Jun 13, 2024	no	LOS ANGELES, CA\|WEEHAWKEN, NJ	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Oct 2, 2015	Sep 27, 2018	no	NEWPORT BEACH, CA\|LOS ANGELES, CA\|IRVINE, CA	Previous registration
CREDIT SUISSE SECURITIES (USA) LLC	Former SEC adviser	Mar 11, 2013	Oct 19, 2015	no	LOS ANGELES, CA\|NEW YORK, NY	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jan 3, 2011	Mar 4, 2013	no	EL SEGUNDO, CA\|EL SEGUNDO, CA\|EL SEGUNDO, CA	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	Aug 21, 2009	Jan 3, 2011	no	EL SEGUNDO, CA	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	Feb 27, 2006	Dec 21, 2007	no	UPLAND, CA\|RANCHO CUCAMONGA, CA\|LOS ANGELES, CA\|LOS ANGELES, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
UBS FINANCIAL SERVICES INC.	J.P. MORGAN SECURITIES LLC	Jun 13, 2024	Jun 24, 2024	11	Firm change	Wirehouse to wirehouse
WELLS FARGO ADVISORS	UBS FINANCIAL SERVICES INC.	Sep 27, 2018	Oct 8, 2018	11	Firm change	Wirehouse to wirehouse
CREDIT SUISSE SECURITIES (USA) LLC	WELLS FARGO ADVISORS	Oct 19, 2015	Oct 2, 2015	-17	Firm change	Other
WELLS FARGO ADVISORS	CREDIT SUISSE SECURITIES (USA) LLC	Mar 4, 2013	Mar 11, 2013	7	Firm change	Other
WELLS FARGO INVESTMENTS, LLC	WELLS FARGO ADVISORS	Jan 3, 2011	Jan 3, 2011	0	Bulk transfer	Other

Relationships

Registered with (5)

→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: current employment
Jun 24, 2024 to presentfactForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Oct 8, 2018 to Jun 13, 2024factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Oct 2, 2015 to Sep 27, 2018factForm ADV
→ CREDIT SUISSE SECURITIES (USA) LLCRegistered adviserregistration: previous registration
Mar 11, 2013 to Oct 19, 2015factForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
Aug 21, 2009 to Jan 3, 2011factForm ADV

Dated events

Occurred
Jun 13, 2024
Advisor changed firm
Anna Lam left Ubs Financial Services Inc. for J.P. Morgan Securities Llc (registered 2024-06-24)
Form ADVobserved 4 days ago