Roger Lam is a registered investment advisor, based in Chicago, IL, with 15 years of industry experience.
Location
200 W. Madison St., Suite 2500, Chicago, IL, 60606
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Hightower Securities, LLC
October 2024 - Present · 1 yr 7 mos
Hightower Securities, LLCBroker
October 2024 - Present · 1 yr 7 mos
Hightower Advisors, LLC
October 2024 - Present · 1 yr 7 mos
Previous Registrations
Wells Fargo Advisors
June 2024 - August 2024 · 2 mos
Wells Fargo Clearing Services, LLCBroker
September 2023 - August 2024 · 11 mos
UBS Financial Services INC.Broker
January 2010 - October 2017 · 7 yrs 9 mos
UBS Financial Services INC.
January 2010 - October 2017 · 7 yrs 9 mos
UBS International INC.
May 2008 - January 2010 · 1 yr 8 mos
UBS International INC.Broker
May 2008 - January 2010 · 1 yr 8 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
September 2005 - February 2008 · 2 yrs 5 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
May 2005 - February 2008 · 2 yrs 9 mos
Schonfeld Securities, LLCBroker
May 2003 - December 2003 · 7 mos
State Registrations1 state
CA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.