Ming C. Lam

KEYBANC CAPITAL MARKETS

Seattle, WA 98101

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CRD#: 5026071

Professional summary

Ming C Lam, who also goes by Ming Chak Lam, is a registered financial professional currently at KEYBANC CAPITAL MARKETS INC. located in Seattle, Washington.

Ming is registered as a RR (Registered Representative) and started their career in finance in 2005. Ming has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ming Chak 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.

I*478820 For profit or not for profit: Entity Governmental Name of outside business organization: University of Nevada Las Vegas Investment related: N Address of business: OBA, OBA, OBA Nature of business: ["School, College or University"] Position, title, association: ["Committee","Board Member"], [["Other"]] Start date of relationship: 2/26/2018 Number of hours devoted: 20 hour(s) Yearly Number of hours devoted during trading hours: 10 Duties: , Public University Involvement with UNLV Finance Dept

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ming 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

September 3, 2025 - Present

KEYBANC CAPITAL MARKETS INC.

Office #1: 1301 Fifth Avenue, Seattle, WA 98101

CRD#: 566

Seattle, WA

Past

July 9, 2024 - August 19, 2025

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

LAS VEGAS, NV

Past

January 25, 2024 - August 19, 2025

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

LAS VEGAS, NV

Past

May 10, 2019 - January 31, 2024

BOFA SECURITIES, INC.

CRD#: 283942

LAS VEGAS, NV

Past

September 9, 2014 - May 10, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

LAS VEGAS, NV

Past

November 4, 2005 - May 23, 2006

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

LAS VEGAS, NV

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Nevada
(9/3/2025)

Exams

State Security Law Exam

IAR

Series 66

Date: 7/8/2024

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/25/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/9/2014

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

KEYBANC CAPITAL MARKETS INC.

GRADISON ASSET MANAGEMENT | MCDONALD INVESTMENTS INC. | MCDONALD & COMPANY SECURITIES, INC. | MCDONALD & COMPANY | KEYBANC CAPITAL MARKETS INC.

CRD#: 566 / SEC#: , 8-30177

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

127 Public Square, Cleveland, OH 44114

Mailing Address

127 Public Square, Cleveland, OH 44114

Phone number

(216) 689-0803

Established

Ohio since 05/18/1983

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
KEYCORP	SOLE SHAREHOLDER
GILBERT, STACY LEE	DIRECTOR	5316644
HAYDEN, WILLIAM PATRICK	CHIEF COMPLIANCE OFFICER	4136632
JANOFSKY, PAULA MARIE	CHIEF OPERATIONS OFFICER, DIRECTOR	2882776
KOVACHICK, MARK ALLAN	DIRECTOR, CFO	5390571
PAINE, ANDREW JACKSON III	MANAGING DIRECTOR, DIRECTOR, HEAD OF CORPORATE AND INVESTMENT BANKING	2450522
PREISER, DOUGLAS WILLIAM	CHIEF EXECUTIVE OFFICER, DIRECTOR	1690776
SKARDA, JOSEPH BRIEL	DIRECTOR	4288186

Disclosures

Regulatory Event	40
Arbitration	15
Bond	1

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.

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Advisor Monitoring

Firm Stability Insights

Ming C. Lam

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ming C Lam's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BOFA SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

WELLS FARGO INVESTMENTS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/8/2024

Series 63

Date: 11/25/2014

SIE

Date: 10/1/2018

Series 7

Date: 9/9/2014

FINRA

Current Firm

KEYBANC CAPITAL MARKETS INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

KEYBANC CAPITAL MARKETS INC.

TRUST BUT VERIFY

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