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Samuel Yam

J.P. Morgan Securities LLC
29 Years of Experience
New York, NY
1 DisclosureBroker
View SEC Summary
View SEC Summary

Samuel Yam is a registered investment advisor at J.P. Morgan Securities LLC, based in New York, NY, with 29 years of industry experience. Samuel is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning, Socially Responsible Investing. Their firm serves 1,246,646 clients with $430B in assets under management.

J.P. Morgan Securities LLC
Compensation
Fee-Only (% of Portfolio)
Firm Size
14260 advisors
Number of Clients
1,246,646 clients
Average Client Portfolio
$345K average
Assets Under Management
$429.7B

Fee Structure

Minimum Investment:$25K
Planning is included in investment management
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $250K0.60%
$250K+0.50%

Clients with $1,000,000 or more as of May 31, 2024, continue to pay 0.40%.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

390 Madison Ave, New York, NY, 10017

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History

Regulatory History (1)
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
September 2013
Denied
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
J.P. Morgan Securities LLC
October 2012 - Present · 14 yrs
J.P. Morgan Securities LLCBroker
October 2012 - Present · 14 yrs
Previous Registrations
Chase Investment Services CORP.
March 2009 - October 2012 · 3 yrs 7 mos
Chase Investment Services CORP.Broker
March 2009 - October 2012 · 3 yrs 7 mos
Citigroup Global Markets INC.
May 2007 - April 2009 · 1 yr 11 mos
Citigroup Global Markets INC.Broker
May 2007 - April 2009 · 1 yr 11 mos
Citicorp Investment Services
April 2007 - May 2007 · 1 mo
Citicorp Investment ServicesBroker
April 2007 - May 2007 · 1 mo
Primevest Financial Services, INC.
October 2006 - April 2007 · 6 mos
Primevest Financial Services, INC.Broker
October 2006 - April 2007 · 6 mos
Citicorp Investment Services
September 2005 - September 2006 · 1 yr
Citicorp Investment ServicesBroker
April 2003 - September 2006 · 3 yrs 5 mos
Hsbc Brokerage (USA) INC.Broker
May 2001 - September 2001 · 4 mos
Charles Schwab & CO., INC.Broker
November 1999 - May 2001 · 1 yr 6 mos
Pruco Securities CorporationBroker
August 1998 - September 1999 · 1 yr 1 mo
John Hancock Distributors, INC.Broker
April 1998 - August 1998 · 4 mos
Cadaret, Grant & CO., INC.Broker
January 1998 - March 1998 · 2 mos
Aig Equity Sales CORP.Broker
August 1996 - January 1998 · 1 yr 5 mos
Mony Securities CORP.Broker
May 1995 - August 1996 · 1 yr 3 mos
State Registrations16 states
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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.
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