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JL

Jonathan C. Lam

MORGAN STANLEY & CO. LLC
New York, NY 10036-8293
Some features on this profile are disabled
CRD#: 4949682
JL

Professional summary

Jonathan C Lam, who also goes by Jonathan Lam, is a registered financial professional currently at MORGAN STANLEY & CO. LLC located in New York, New York and MORGAN STANLEY located in Purchase, New York.

Jonathan is registered as a RR (Registered Representative) and started their career in finance in 2012. Jonathan has worked at 4 firms and has passed the SIE and Series 99 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jonathan Lam

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) - BD

Click below to view Jonathan C Lam's 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 30, 2012 - Present

MORGAN STANLEY & CO. LLC

Office #1: 1585 Broadway, New York, NY 10036-8293
BD
CRD#: 8209
New York, NY
Current

May 14, 2025 - Present

MORGAN STANLEY

Office #1: 2000 Westchester Avenue, Purchase, NY 10577-2530
RIA
BD
CRD#: 149777
Purchase, NY
Current

May 14, 2025 - Present

EATON VANCE DISTRIBUTORS, INC.

Office #1: One Post Office Square, Boston, MA 02109
BD
CRD#: 37731
BOSTON, MA
Current

May 14, 2025 - Present

PRIME DEALER SERVICES CORP.

Office #1: 1585 Broadway, New York, NY 10036
BD
CRD#: 36142
New York, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 7/27/2012
Operations Professional Examination
SRO Registrations
RR
FINRA

Current Firm

PD
PRIME DEALER SERVICES CORP.
MS DEALER SERVICES CORP. | PRIME DEALER SERVICES CORP.

CRD#: 36142 / SEC#: , 8-47025

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
1585 Broadway, New York, NY 10036
Mailing Address
1300 Thames Street C/o Shared Services Compliance - Registration, Baltimore, MD 21231
Phone number
(212) 762-4000
Established
Delaware since 01/26/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MORGAN STANLEY & CO. LLCSHAREHOLDER
CROWE, JOHN WILLIAMCHIEF FINANCIAL OFFICER5475007
GRECO, ANTHONYDIRECTOR, PRESIDENT, AND CHIEF EXECUTIVE OFFICER4853800
MORANO, DAVIDPRINCIPAL OPERATIONS OFFICER2189287
MOSKOWITZ, DOUGLAS IRWINCHIEF COMPLIANCE OFFICER2396405
MURRAY, CHRISTOPHER ADIRECTOR3128073
RUBIN, GERALDDIRECTOR2950891

Disclosures

Regulatory Event1

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.

Company Information

PRIME DEALER SERVICES CORP.

CRD#: 36142New York, NY 10036-8293

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