Sam Luby is a registered investment advisor at Wells Fargo Advisors, based in Miami, FL, with 39 years of industry experience. Their practice areas include Retirement Planning. Their firm serves 401,726 clients with $200B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
3710 advisors
IM Fee
Planning only
Assets Under Management
$197.4B
Fee Structure
Investment management only (planning not offered)
Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.
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Location
Miami, FL
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Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
May 2005Settled
Customer Dispute
January 2002Settled
Other Business Activities
Sam is a trustee for a friend, spending minimal time on it. He also owns 100% of Luby Wealth Management Group, LLC and 34% of LSA Wealth Management Group, LLC, dedicating minimal time to each.
Employment History
Current Registrations
Wells Fargo Advisors
August 2024 - Present · 1 yr 9 mos
Wells Fargo Advisors Financial Network, LLCBroker
August 2024 - Present · 1 yr 9 mos
Wells Fargo Advisors Financial Network, LLC
August 2024 - Present · 1 yr 9 mos
Previous Registrations
Wells Fargo Clearing Services, LLCBroker
July 2003 - August 2024 · 21 yrs 1 mo
Wells Fargo Advisors
July 2003 - August 2024 · 21 yrs 1 mo
Prudential Securities IncorporatedBroker
October 2000 - July 2003 · 2 yrs 9 mos
Prudential Securities Incorporated
October 2000 - July 2003 · 2 yrs 9 mos
Painewebber IncorporatedBroker
November 1993 - November 2000 · 7 yrs
Smith Barney Shearson INC.Broker
November 1989 - November 1993 · 4 yrs
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 1989 - December 1989 · 2 mos
Kidder, Peabody & CO. IncorporatedBroker
November 1987 - November 1989 · 2 yrs
Josephthal & CO., IncorporatedBroker
April 1986 - December 1987 · 1 yr 8 mos
State Registrations14 states
CACOCTDEFLILKYLAMAMONJNVNYWI
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.