Jon Lam has been Managing Member & Chief Compliance Officer of Newbury Capital Management since July 2009, is a control person of the firm and directly owns between 25% and 50% of it.
Newbury Capital Management, LLC is a South Pasadena, CA firm with $154M under management, 437 clients and 4 advisers in one office, as of its March 2026 filing.
Jon Lam’s longest registration is the current one, 17 years at Newbury Capital Management since 2009. Before joining Newbury Capital Management in 2009, Jon Lam was registered through Southwest Securities, Inc. and M. L. Stern & Co, LLC.
- – present · 17 yearsSouth Pasadena, CA · Adviser representative · Firm CRD 148516
- Southwest Securities, Inc.– · under a yearBeverly Hills, CA · Adviser representative · Firm CRD 6220
- M. L. Stern & Co, LLC.– · 5 yearsBeverly Hills, CA · Adviser representative · Firm CRD 8327
- Tower Asset Management LLC– · 12 yearsBeverly Hills, CA · Adviser representative · Firm CRD 107919
Investment adviser representative registrations
Jon Lam is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from July 2009; the most recent is Texas, in February 2014.
- CaliforniaSince 1 July 2009
- TexasResidentSince 12 February 2014
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 8 | General Securities Sales Supervisor Examination (Options Module & General Module) | 24 April 1992 |
| Series 63 | Uniform Securities Agent State Law Examination | 7 September 1988 |
| Series 7 | General Securities Representative Examination | 20 August 1988 |
- Name
- General Securities Sales Supervisor Examination (Options Module & General Module)
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Jon Christopher Lam
- CRD
- 1860840
- Firm
- Newbury Capital Management · CRD 148516
- Role
- Managing Member & Chief Compliance Officer
- Office
- 812 FREMONT AVE., SUITE 101, South Pasadena, CA 91030
- Registration
- Investment adviser registration
- In the industry since
- April 1997
- Disciplinary history
- Not yet shown here · SEC record
Where does Jon Lam work?
Jon Lam has been Managing Member & Chief Compliance Officer of Newbury Capital Management, LLC since July 2009, and is a control person of the firm.
Is Jon Lam a financial advisor?
Yes. Jon Lam has a current investment-adviser registration in California and Texas, through Newbury Capital Management since July 2009.
How many years of experience does Jon Lam have?
Jon Lam has 29 years in the financial industry, since April 1997, across 4 adviser firms.
What exams has Jon Lam passed?
Jon Lam has passed 3 licensing exams: the Series 7, Series 63 and Series 8. The earliest, the Series 7, was passed in August 1988.
Where did Jon Lam work before Newbury Capital Management?
Before Newbury Capital Management, Jon Lam was registered through M. L. Stern & Co, LLC., February 2004 to April 2009.
Where is Jon Lam based?
Jon Lam’s registered office is in South Pasadena, CA.
Is Jon Lam registered with FINRA?
No. Jon Lam has no current broker registration.
How can I verify Jon Lam’s record?
Search CRD 1860840 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Jon Lam’s full registration record.