Sam Lim
Sam Lim is a registered investment advisor at Citigroup Global Markets INC., based in City of Industry, CA, with 13 years of industry experience. Sam is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, High Net Worth, and 3 more. Their firm serves 59,829 clients with $56B in assets under management.
Compensation
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IM Fee
Assets Under Management
Fee Structure
Citigroup Global Markets provides a comprehensive written financial plan at no direct fee to eligible clients of Citi Private Bank and Citi Global Wealth at Work. The service includes developing a financial profile, analyzing current financial position, and providing recommendations for education, retirement, estate planning, and other long-term goals.
Location
CWM Retail, Sales, 17801 Colima Road, City of Industry, CA, 91748
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Regulatory History (1)
Customer Dispute
May 2021Employment History
Current Registrations
Citigroup Global Markets INC.
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
Previous Registrations
Morgan Stanley
Morgan StanleyBroker
State Registrations15 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.
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