Carolyn Ham has been Chief Compliance Officer & Managing Member of LionsBridge Wealth Management since November 2008, is a control person of the firm and directly owns under 5% of it.
Lionsbridge Wealth Management LLC is a Jacksonville Beach, FL firm with $122M under management, 68 clients and 2 advisers across 4 offices, as of its July 2026 filing.
Carolyn Ham is Chief Operating Officer of LionsBridge Wealth Management, based in Jacksonville Beach, Florida. At LionsBridge she is responsible for Compliance and Operations and works with the portfolio managers on the daily servicing, trading and administration of client relationships. She started her career with Thompson McKinnon in 1985, joined Kidder Peabody in 1989, and moved to Morgan Stanley in 1995 as a Complex Operations Manager.
Carolyn Ham’s longest registration is the current one, 17 years at LionsBridge Wealth Management since 2009. Before joining LionsBridge Wealth Management in 2009, Carolyn Ham was registered through Morgan Stanley & Co. Incorporated and Morgan Stanley.
- – present · 17 yearsJacksonville Beach, FL · Adviser representative · Firm CRD 149019
- Morgan Stanley & Co. Incorporated– · 1 yearJacksonville, FL · Adviser representative · Firm CRD 8209
- Morgan Stanley– · 9 yearsJacksonville, FL · Adviser representative · Firm CRD 7556
Investment adviser representative registrations
Carolyn Ham is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from March 2009; the most recent is Texas, in April 2012.
- FloridaSince 10 March 2009
- TexasResidentSince 11 April 2012
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 21 February 2004 |
| Series 63 | Uniform Securities Agent State Law Examination | 26 January 2004 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 19 December 2001 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 21 September 2001 |
| Series 7 | General Securities Representative Examination | 30 September 1997 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Representative Examination
- Full name
- Carolyn Renee Ham
- CRD
- 2601189
- Firm
- LionsBridge Wealth Management · CRD 149019
- Role
- Chief Compliance Officer & Managing Member
- Office
- 1514 ROBERTS DRIVE, Jacksonville Beach, FL 32250
- Registration
- Investment adviser registration
- In the industry since
- January 1998
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- lbwm.net
Where does Carolyn Ham work?
Carolyn Ham has been Chief Compliance Officer & Managing Member of Lionsbridge Wealth Management LLC since November 2008, and is a control person of the firm.
Is Carolyn Ham a financial advisor?
Yes. Carolyn Ham has a current investment-adviser registration in Florida and Texas, through LionsBridge Wealth Management since March 2009.
How many years of experience does Carolyn Ham have?
Carolyn Ham has 28 years in the financial industry, since January 1998, across 3 adviser firms.
What exams has Carolyn Ham passed?
Carolyn Ham has passed 5 licensing exams: the Series 7, Series 10, Series 9, Series 63 and Series 66. The earliest, the Series 7, was passed in September 1997. FINRA credited Carolyn Ham with the SIE, which began in October 2018.
Where did Carolyn Ham work before LionsBridge Wealth Management?
Before LionsBridge Wealth Management, Carolyn Ham was registered through Morgan Stanley & Co. Incorporated, April 2007 to December 2008; Morgan Stanley, October 1997 to April 2007.
Where is Carolyn Ham based?
Carolyn Ham’s registered office is in Jacksonville Beach, FL.
Is Carolyn Ham registered with FINRA?
No. Carolyn Ham has no current broker registration.
How can I verify Carolyn Ham’s record?
Search CRD 2601189 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Carolyn Ham’s full registration record.
