Mamie H Lai

CRD 1668503 · Morgan Stanley · Pasadena, CA

IA RegisteredBroker

Also appears in the source record as: Mamie H Yee

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (3): Series 66SIESeries 7
Registered states (32): Alabama · Arizona · California · Colorado · Delaware · Florida · Georgia · Hawaii · Idaho · Illinois · Iowa · Louisiana · Massachusetts · Michigan · Missouri · Nevada · New Jersey · New Mexico · New York · North Carolina · Ohio · Oregon · Pennsylvania · Rhode Island · South Carolina · South Dakota · Texas · Utah · Virginia · Washington · Wisconsin · Wyoming
Years in the industry (source record): 39
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Morgan Stanley
Firm CRD: 149777
SEC number: 801-70103
Assets under management: $2.0T as of Jun 30, 2026
Website: www.morganstanley.com ↗
Phone: 914-225-5510
Firm location: Purchase, NY, 10577-2530

Employment history (11)

From the source registration record · current first

Morgan StanleyCurrent
Pasadena, CA · IA capacity

Sep 18, 2019 → present
Raymond James & Associates, Inc.
BD capacity

May 31, 2019 → Sep 20, 2019
Raymond James & Associates, Inc.
IA capacity

May 31, 2019 → Sep 20, 2019
Cantella & Co., Inc.
BD capacity

Jun 27, 2018 → Jun 17, 2019
Cantella & Co., Inc.
IA capacity

Jun 27, 2018 → Jun 17, 2019
Merrill Lynch, Pierce, Fenner & Smith Incorporated
IA capacity

Mar 11, 2016 → Jul 26, 2018
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Dec 22, 2015 → Jul 26, 2018
Sunamerica Securities, Inc.
BD capacity

May 19, 1992 → Nov 10, 1992
Anchor National Financial Services, Inc.
BD capacity

Aug 27, 1990 → May 19, 1992
Psi Securities Corporation
BD capacity

Feb 16, 1989 → Jan 15, 1991
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

May 21, 1987 → Feb 21, 1989

Source & corrections

Where this page comes from

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