Sam Sy
Sam Sy is a registered investment advisor at Packerland Brokerage Services, INC., based in City of Industry, CA, with 30 years of industry experience. Sam operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Insurance Planning, Investment Management, Retirement Planning, and 1 more. Their firm serves 4,245 clients with $910M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Packerland offers several investment management options:
- Individual Portfolio Management: Fees are a percentage of your portfolio, up to a maximum of 2.5% per year.
- Co-Advisory Programs: You'll pay program fees in addition to Packerland's advisory fee (up to 2.5% of your assets). These fees cover the third-party money manager's investment advisory services, potentially as part of a bundled fee arrangement.
- Hilltop/Envestnet Programs: Most programs have a unified fee covering the platform, manager, and Packerland's advisory services. Some fees, like those for transactions executed away from Hilltop, are charged separately.
- Solicitor Program: You'll pay a management fee to the third-party money manager, which Packerland shares. You won't pay a separate fee to Packerland.
Location
1661 Hanover Road, Suite 203, City of Industry, CA, 91748
Get directionsHistory
Regulatory History (2)
Customer Dispute
March 2009Customer Dispute
August 2007Other Business ActivitiesSells Insurance
Sam sells health and travel insurance, dedicating a few hours per week to this non-investment related activity since 2010. Sam meets clients at their location.
Employment History
Current Registrations
Packerland Brokerage Services, INC.
Packerland Brokerage Services, INC.Broker
Previous Registrations
Foresters Equity Services, INC.Broker
Foresters Equity Services, INC.
Wamu Investments, INC.
Wamu Investments, INC.Broker
Bancwest Investment Services, INC.
Bancwest Investment Services, INC.Broker
Bancwest Investment Services, INC.
Linsco/private Ledger CORP.Broker
Linsco/private Ledger CORP.
Ifmg Securities, INC.
Ifmg Securities, INC.Broker
Wm Financial Services, INC.Broker
Signator Investors, INC.Broker
John Hancock Mutual Life Insurance CompanyBroker
State Registrations2 states
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.