Jon C. Lam

NEWBURY CAPITAL MANAGEMENT

South Pasadena, CA 91030

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CRD#: 1860840

Professional summary

Jon Christopher Lam is a registered financial advisor currently at NEWBURY CAPITAL MANAGEMENT, LLC located in South Pasadena, California.

Jon is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Jon has worked at 8 firms and has passed the Series 63, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jon Christopher Lam's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 1, 2009 - Present

NEWBURY CAPITAL MANAGEMENT, LLC

Office #1: 812 Fremont Ave. Suite 101, South Pasadena, CA 91030

RIA

CRD#: 148516

South Pasadena, CA

Past

December 10, 2008 - July 7, 2009

HILLTOP SECURITIES INC.

RIA

CRD#: 6220

BEVERLY HILLS, CA

Past

December 10, 2008 - July 7, 2009

HILLTOP SECURITIES INC.

CRD#: 6220

BEVERLY HILLS, CA

Past

February 6, 2004 - April 7, 2009

M.L. STERN & CO., LLC.

RIA

CRD#: 8327

BEVERLY HILLS, CA

Past

April 2, 1997 - July 6, 2009

TOWER ASSET MANAGEMENT LLC

RIA

CRD#: 107919

BEVERLY HILLS, CA

Past

February 3, 1997 - April 3, 2009

M.L. STERN & CO., LLC.

CRD#: 8327

BEVERLY HILLS, CA

Past

July 19, 1989 - February 25, 1997

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

April 25, 1989 - June 21, 1989

J. W. GANT & ASSOCIATES, INC.

CRD#: 7963

Past

December 12, 1988 - April 27, 1989

OSBORNE, STERN & COMPANY, INC.

CRD#: 19879

Past

August 23, 1988 - December 20, 1988

J. T. MORAN & CO., INC.

CRD#: 15655

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NEWBURY CAPITAL MANAGEMENT, LLC

CAMDEN FINANCIAL PLANNING, INC | NEWBURY CAPITAL MANAGEMENT, LLC

CRD#: 148516 / SEC#: 801-110353

RIA

Registered Investment Advisory firm - (4/7/2017 Approved)

California

Registered Investment Advisory firm - (6/2/2017 Terminated)

Texas

Registered Investment Advisory firm - (5/3/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(7/1/2009)

IAR

Texas
(2/12/2014)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 9/7/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/20/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 4/24/1992

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

NEWBURY CAPITAL MANAGEMENT, LLC

CAMDEN FINANCIAL PLANNING, INC | NEWBURY CAPITAL MANAGEMENT, LLC

CRD#: 148516 / SEC#: 801-110353

RIA

Registered Investment Advisory firm - (4/7/2017 Approved)

California

Registered Investment Advisory firm - (6/2/2017 Terminated)

Texas

Registered Investment Advisory firm - (5/3/2017 Terminated)

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Contact information

Main Address

812 Fremont Ave. Suite 101, South Pasadena, CA 91030

Mailing Address

Phone number

(626) 796-8898

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2 FIRM BROCHURE (3/12/2025)

Regulatory assets under management

Total Number of Accounts	406
AUM (Assets Under Management)	$ 144,385,467

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Jon C. Lam

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jon Christopher Lam's CRS (Customer Relationship Summary).

Certified licenses

Experience

HILLTOP SECURITIES INC.

HILLTOP SECURITIES INC.

M.L. STERN & CO., LLC.

TOWER ASSET MANAGEMENT LLC

M.L. STERN & CO., LLC.

CHARLES SCHWAB & CO., INC.

J. W. GANT & ASSOCIATES, INC.

OSBORNE, STERN & COMPANY, INC.

J. T. MORAN & CO., INC.

Primary Firm SEC Registration

NEWBURY CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/7/1988

Series 7

Date: 8/20/1988

Series 8

Date: 4/24/1992

Current Firm

NEWBURY CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NEWBURY CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

Contact information

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