Mica Tieu Lam
Investment adviser representative at UBS Financial Services Inc.
12 yearsExperience
2 statesRegistered in
$915.8BFirm assets
55 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat feeCommissionsOther
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
12 years in the industry.
- UBS Financial Services Inc.Nov 2021 to now
- First Republic Investment Management, Inc.May 2018 to Nov 2021
- First Republic Securities Company, LLCMay 2018 to Nov 2021
- Bank of America, N.A.May 2015 to Mar 2018
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedApr 2014 to Mar 2018
Exams passed
- Series 66 · Uniform Combined State Law2001
State registrations
Registered as an investment adviser representative in 2 states (CA, NV).
UBS Financial Services Inc.
$915.8BAssets managed
1,144,588Clients
9,366Advisers
55 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 2952250
- Firm CRD
- 8174