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Nicholas Jun Hay Lam
DIMENSIONAL FUND ADVISORS LP
Austin, TX 78746
Some features on this profile are disabled
CRD#: 8027522
NL
Professional summary
Nicholas Jun Hay Lam, who also goes by Nicholas Lam, Nick Lam, is a registered financial advisor currently at DIMENSIONAL FUND ADVISORS LP located in Austin, Texas and DFA SECURITIES LLC located in Santa Monica, California.
Nicholas Jun Hay is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2025. Nicholas Jun Hay has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nicholas Lam | Nick 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.
MNA Coaching;Investment-related - no;Home business;Sports coach;Sports coach;Jan 01, 2024;5;0;Triathlon sports coach - providing training and coaching to athletes who are new to the sport of triathlon
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Jun Hay 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
August 6, 2025 - Present
DIMENSIONAL FUND ADVISORS LP
Office #1: 6300 Bee Cave Road Building One, Austin, TX 78746RIA
CRD#: 106482
Austin, TX
Current
March 8, 2025 - Present
DFA SECURITIES LLC
Office #1: 1299 Ocean Avenue, Santa Monica, CA 90401BD
CRD#: 10292
Santa Monica, 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".
DF
DIMENSIONAL FUND ADVISORS LP
DIMENSIONAL FUND ADVISORS INC | DIMENSIONAL FUND ADVISORS LP | DIMENSIONAL FUND ADVISORS INC.
CRD#: 106482 / SEC#: 801-16283
RIA
Registered Investment Advisory firm - (8/26/1981 Approved)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.RR
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
RR
Alabama(8/5/2025)
RR
Alaska(8/5/2025)
RR
Arizona(8/5/2025)
RR
Arkansas(8/5/2025)
RR
California(8/5/2025)
RR
Colorado(3/11/2025)
RR
Connecticut(8/5/2025)
RR
Delaware(8/5/2025)
RR
District of Columbia(3/11/2025)
RR
Florida(3/11/2025)
RR
Georgia(8/5/2025)
RR
Idaho(8/5/2025)
RR
Illinois(8/5/2025)
RR
Indiana(8/5/2025)
RR
Iowa(8/5/2025)
RR
Kansas(8/5/2025)
RR
Kentucky(8/5/2025)
RR
Louisiana(3/11/2025)
RR
Maine(8/5/2025)
RR
Maryland(3/11/2025)
RR
Massachusetts(8/5/2025)
RR
Michigan(8/5/2025)
RR
Minnesota(8/5/2025)
RR
Mississippi(8/5/2025)
RR
Missouri(8/5/2025)
RR
Montana(8/5/2025)
RR
Nebraska(8/5/2025)
RR
Nevada(8/5/2025)
RR
New Hampshire(8/5/2025)
RR
New Jersey(8/5/2025)
RR
New Mexico(8/5/2025)
RR
New York(8/5/2025)
RR
North Carolina(8/5/2025)
RR
North Dakota(8/5/2025)
RR
Ohio(8/5/2025)
RR
Oklahoma(8/5/2025)
RR
Oregon(8/5/2025)
RR
Pennsylvania(8/5/2025)
RR
Rhode Island(8/5/2025)
RR
South Carolina(8/5/2025)
RR
South Dakota(8/5/2025)
RR
Texas(8/5/2025)
IAR
Texas(8/6/2025)
RR
Utah(8/5/2025)
RR
Vermont(8/5/2025)
RR
Virginia(8/5/2025)
RR
Washington(8/5/2025)
RR
West Virginia(8/5/2025)
RR
Wisconsin(8/5/2025)
RR
Wyoming(8/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/8/2025
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
DF
DIMENSIONAL FUND ADVISORS LP
DIMENSIONAL FUND ADVISORS INC | DIMENSIONAL FUND ADVISORS LP | DIMENSIONAL FUND ADVISORS INC.
CRD#: 106482 / SEC#: 801-16283
RIA
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Contact information
Main Address
6300 Bee Cave Road Building One, Austin, TX 78746
Mailing Address
Phone number
(512) 306-7400
Established
Firm type
Fiscal year end
# of Employees
1,135
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,611 |
| AUM (Assets Under Management) | $ 835,713,261,770 |
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.
