CS
CS

Charles Sams

9 Years of Experience
New York, NY
Broker

Charles Sams is a registered investment advisor at Morgan Stanley, based in New York, NY, with 9 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.

Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23050 advisors
IM Fee
Planning only
Assets Under Management
$1650.0B

Fee Structure

Investment management only (planning not offered)
Annual Retainer:Up to $500,000/year
Loading...

Location

1 New York Plaza, Corp Equity Solutions & Annuities/Insurance Review, New York, NY, 10004

Get directions

History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

Learn about disclosures →
Other Business Activities

Charles is a board member of Led By Faith Inc DBA Living Faith Ministries, a non-profit organization. He spends minimal time on this activity outside of business hours, primarily focused on check signing/funds disbursements and labor/service.

Employment History
Current Registrations
Morgan Stanley
December 2021 - Present · 4 yrs 5 mos
Morgan StanleyBroker
December 2021 - Present · 4 yrs 5 mos
Previous Registrations
J.P. Morgan Securities LLC
February 2019 - August 2020 · 1 yr 6 mos
J.P. Morgan Securities LLCBroker
December 2018 - August 2020 · 1 yr 8 mos
MML Investors Services, LLCBroker
April 2018 - December 2018 · 8 mos
PFS Investments INC.Broker
October 2017 - April 2018 · 6 mos
J.P. Morgan Securities LLCBroker
June 2014 - November 2016 · 2 yrs 5 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
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.