Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Samuel? Claim Your ProfileSamuel Yam is a registered representative with J.p. Morgan Securities LLC with over 25 years of experience in the financial services industry. Samuel has held positions with several firms, including Chase Investment Services Corp., Citigroup Global Markets Inc., Citicorp Investment Services, Primevest Financial Services, Inc., HSBC Brokerage (USA) Inc., Charles Schwab & Co., Inc., and Pruco Securities Corporation. Samuel is currently licensed in Alabama, California, Connecticut, Florida, Illinois, Maryland, Massachusetts, Nevada, New Jersey, New York, North Carolina, Pennsylvania, Texas, Utah, and Washington. Samuel holds the Series 6, 7, 26, 63, and 65 licenses. Samuel specializes in providing financial planning, pension consulting, and portfolio management for both individuals and businesses.
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
NY
09/19/2013 - Present
J.p. Morgan Securities LLC (NEW YORK NY)
NY
03/30/2009 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (NEW YORK NY)
NY
05/29/2007 - 04/14/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
04/11/2007 - 05/29/2007
CITICORP INVESTMENT SERVICES (NEW YORK NY)
NY
10/06/2006 - 04/05/2007
PRIMEVEST FINANCIAL SERVICES, INC. (NEW YORK NY)
NY
04/16/2003 - 09/21/2006
CITICORP INVESTMENT SERVICES (NEW YORK NY)
NY
05/14/2001 - 09/18/2001
HSBC BROKERAGE (USA) INC. (NEW YORK NY)
TX
11/01/1999 - 05/15/2001
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
NJ
08/31/1998 - 09/29/1999
PRUCO SECURITIES CORPORATION (NEWARK NJ)
MA
04/07/1998 - 08/24/1998
JOHN HANCOCK DISTRIBUTORS, INC. (BOSTON MA)
NY
01/02/1998 - 03/10/1998
CADARET, GRANT & CO., INC. (SYRACUSE NY)
NY
08/29/1996 - 01/02/1998
AIG EQUITY SALES CORP. (NEW YORK NY)
NY
05/05/1995 - 08/02/1996
MONY SECURITIES CORP. (NEW YORK NY)
IA
Issued 12/29/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/23/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/17/1999
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/12/1998
Series 7 - General Securities Representative Examination
BC
Issued 05/04/1995
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, 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
N
New York Stock Exchange
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