Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Louis? Claim Your ProfileLouis Yim is a financial advisor with J.p. Morgan Securities LLC. Louis has been in the industry since 2016 and holds the Series 7, Series 24 and Series 63 licenses. Louis has experience with First Republic Securities Company, LLC and Franklin/Templeton Distributors, Inc. Prior to that, Louis was with TD Waterhouse Investor Services, Inc.. Louis has experience with the firm's financial planning, pension consulting, selection of other advisors, portfolio management for businesses and portfolio management for individuals services.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
CA
09/29/2023 - Present
J.p. Morgan Securities LLC (San Francisco CA)
CA
07/11/2019 - 09/29/2023
FIRST REPUBLIC SECURITIES COMPANY, LLC (SAN FRANCISCO CA)
CA
05/11/2017 - 05/02/2019
FRANKLIN/TEMPLETON DISTRIBUTORS, INC. (SAN MATEO CA)
NE
04/15/1999 - 04/26/2000
TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)
BC
Issued 05/25/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/28/2017
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/14/1999
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE Arca, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
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