Jonathan C Lam
Professional Summary
Jonathan C Lam, who also goes by Jonathan Lam, is a registered financial advisor 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 2025. Jonathan has worked at 4 firms and has passed the SIE and Series 99 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Jonathan C Lam, Jonathan Lam
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Videos & Posts
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Contact Information
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Disclosures on record.
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.
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Years of Experience
14 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
MS DEALER SERVICES CORP. | PRIME DEALER SERVICES CORP.
Contact Information
Main Address
1585 Broadway, New York, NY 10036Mailing Address
1300 Thames Street C/o Shared Services Compliance - Registration, Baltimore, MD 21231Phone Number
(212) 762-4000Established
Delaware since 01/26/1994Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (1 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY & CO. LLC | SHAREHOLDER | — |
| CROWE, JOHN WILLIAM | CHIEF FINANCIAL OFFICER | 5475007 |
| GRECO, ANTHONY | DIRECTOR, PRESIDENT, AND CHIEF EXECUTIVE OFFICER | 4853800 |
| MORANO, DAVID | PRINCIPAL OPERATIONS OFFICER | 2189287 |
| MOSKOWITZ, DOUGLAS IRWIN | CHIEF COMPLIANCE OFFICER | 2396405 |
| RUBIN, GERALD | DIRECTOR | 2950891 |
| VINAS, SULLY V | DIRECTOR | 5304705 |
Disclosures
Regulatory Event
1Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Jonathan C Lam's CRS (Customer Relationship Summary).
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