Jeremy Lam

GOLDSTONE FINANCIAL GROUP

OAKBROOK TERRACE, IL 60181

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CRD#: 7265018

Professional summary

Jeremy Lam is a registered financial advisor currently at GOLDSTONE FINANCIAL GROUP, LLC located in Oakbrook Terrace, Illinois.

Jeremy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Jeremy has worked at 6 firms and has passed the Series 66, Series 7TO and SIE exams.

At a Glance

Always Fiduciary

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

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

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

August 2, 2026 - Present

GOLDSTONE FINANCIAL GROUP, LLC

Office #1: 18w140 Butterfield Road 16th Floor, Oakbrook Terrace, IL 60181

RIA

CRD#: 222520

OAKBROOK TERRACE, IL

Past

April 25, 2024 - July 7, 2026

CORIENT

RIA

CRD#: 319448

Chicago, IL

Past

September 19, 2022 - November 3, 2022

GOLDMAN SACHS WEALTH SERVICES, L.P.

RIA

CRD#: 106693

Dallas, TX

Past

January 4, 2021 - November 3, 2022

GOLDMAN SACHS & CO. LLC

CRD#: 361

DALLAS, TX

Past

December 23, 2020 - September 19, 2022

UNITED CAPITAL FINANCIAL ADVISORS

RIA

CRD#: 134600

DALLAS, TX

Past

October 16, 2020 - January 4, 2021

MERCER ALLIED COMPANY, L.P.

CRD#: 37404

DALLAS, TX

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".

GOLDSTONE FINANCIAL GROUP, LLC

CRD#: 222520 / SEC#: 801-99350

RIA

Registered Investment Advisory firm - (6/5/2015 Approved)

Illinois

Registered Investment Advisory firm - (1/20/2016 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Illinois
(8/2/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/8/2020

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 10/15/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 9/14/2020

Securities Industry Essentials Examination

Current Firm

GOLDSTONE FINANCIAL GROUP, LLC

CRD#: 222520 / SEC#: 801-99350

RIA

Registered Investment Advisory firm - (6/5/2015 Approved)

Illinois

Registered Investment Advisory firm - (1/20/2016 Terminated)

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Contact information

Main Address

18w140 Butterfield Road 16th Floor, Oakbrook Terrace, IL 60181

Mailing Address

Phone number

(630) 620-9300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A-GOLDSTONE FINANCIAL GROUP, LLC (12/16/2025)

GOLDSTONE FINANCIAL GROUP, LLC WRAP FEE PROGRAM (3/31/2025)

Regulatory assets under management

Total Number of Accounts	4,083
AUM (Assets Under Management)	$ 917,456,867

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

Jeremy Lam

Professional summary

At a Glance

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

CORIENT

GOLDMAN SACHS WEALTH SERVICES, L.P.

GOLDMAN SACHS & CO. LLC

UNITED CAPITAL FINANCIAL ADVISORS

MERCER ALLIED COMPANY, L.P.

Primary Firm SEC Registration

GOLDSTONE FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/8/2020

Series 7TO

Date: 10/15/2020

SIE

Date: 9/14/2020

Current Firm

GOLDSTONE FINANCIAL GROUP, LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GOLDSTONE FINANCIAL GROUP, LLC

TRUST BUT VERIFY

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