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JL

Jennifer Lam

Some features on this profile are disabled
CRD#: 5487789
JL

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Jennifer Lam, who also goes by Jen Lam, Jennifer H Lam, Jennifer Hor-yun Lam, Jennifer Lam, was a registered financial professional .

Jennifer is a previously registered financial professional and started their career in finance in 2008. Jennifer had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jen Lam | Jennifer H Lam | Jennifer Hor-Yun Lam | Jennifer 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 12, 2024 - March 11, 2026

MARINER WEALTH

RIA
CRD#: 140195
San Bruno, CA
Past

September 29, 2023 - May 18, 2024

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
San Francisco, CA
Past

July 10, 2019 - May 20, 2024

J.P. MORGAN PRIVATE WEALTH ADVISORS LLC

RIA
CRD#: 108559
San Francisco, CA
Past

July 8, 2019 - September 29, 2023

FIRST REPUBLIC SECURITIES COMPANY, LLC

BD
CRD#: 105108
San Francisco, CA
Past

July 1, 2016 - June 26, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
SAN FRANCISCO, CA
Past

October 21, 2013 - June 26, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
SAN FRANCISCO, CA
Past

February 26, 2008 - April 28, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
OAKLAND, CA

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".
MW
MARINER WEALTH
ADVICEPERIOD | MARINER, LLC | MARINER WEALTH ADVISORS, LLC | MARINER WEALTH ADVISORS | MARINER WEALTH | MARINER ULTRA | MARINER INSTITUTIONAL CONSULTING, LLC | MARINER INSTITUTIONAL | MARINER | KUMMER FINANCIAL STRATEGIES

CRD#: 140195 / SEC#: 801-66632

RIA
Registered Investment Advisory firm - (4/24/2006 Approved)

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

State Security Law Exam
RR
IAR
Series 66
Date: 7/20/2016
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 10/31/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/21/2013
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/25/2008
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 9/28/2016
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 8/23/2016
General Securities Sales Supervisor - Options Module Examination

Current Firm

MW
MARINER WEALTH
ADVICEPERIOD | MARINER, LLC | MARINER WEALTH ADVISORS, LLC | MARINER WEALTH ADVISORS | MARINER WEALTH | MARINER ULTRA | MARINER INSTITUTIONAL CONSULTING, LLC | MARINER INSTITUTIONAL | MARINER | KUMMER FINANCIAL STRATEGIES

CRD#: 140195 / SEC#: 801-66632

RIA
Registered Investment Advisory firm - (4/24/2006 Approved)
PREMIUM
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Contact information

Main Address
5700 W. 112th Street Suite 500, Overland Park, KS 66211
Mailing Address
Phone number
(913) 904-5700
Established
Firm type
Fiscal year end
# of Employees
1,503

SEC notice filing (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

MARINER ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts155,767
AUM (Assets Under Management)$ 98,603,233,201

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
09/25/2025
Cover Page
Report
11/19/2024
Cover Page
Report
12/21/2023
Cover Page
Report

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

MARINER WEALTH

CRD#: 140195

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