SL
Simon Lam
M1 FINANCE LLC
CHICAGO, IL 60601
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CRD#: 6647143
SL
Professional summary
Simon Lam is a registered financial professional currently at M1 FINANCE LLC located in Chicago, Illinois.
Simon is registered as a RR (Registered Representative) and started their career in finance in 2025. Simon has worked at 1 firm and has passed the Series 99TO, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Simon 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®
NoneExperience
Current
March 11, 2025 - Present
M1 FINANCE LLC
Office #1: 200 N Lasalle Street, Suite 810, Chicago, IL 60601BD
CRD#: 281242
CHICAGO, IL
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
Series 99TO
Date: 3/12/2025
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 3/10/2025
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MF
M1 FINANCE LLC
M1 FINANCE LLC
CRD#: 281242 / SEC#: , 8-69670
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
200 N Lasalle Street, Suite 810, Chicago, IL 60601
Mailing Address
200 N Lasalle Street, Suite 810, Chicago, IL 60601
Phone number
(312) 600-2883
Established
Delaware since 02/25/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 3 |
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.
