Samuel K Yam

CRD 1934397 · J.P. Morgan Securities LLC · New York, NY

IA RegisteredBroker

Also appears in the source record as: Kai Fung Yam; Sam Yam; Samuel Kaifung Yam

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): SIESeries 7Series 6Series 26Series 65Series 63
Registered states (16): Alabama · California · Connecticut · Florida · Illinois · Maryland · Massachusetts · Nevada · New Jersey · New York · North Carolina · Pennsylvania · Texas · Utah · Virginia · Washington
Years in the industry (source record): 29
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 1934397 contains one or more disclosure events as of Aug 20, 2026.

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Current firm

From the firm record

Firm: J.P. Morgan Securities LLC
Firm CRD: 79
SEC number: 801-3702
Assets under management: $429.7B as of Jun 30, 2026
Website: wealthpartners.jpmorgan.com ↗
Phone: 800-999-2000
Firm location: New York, NY, 10017

Employment history (17)

From the source registration record · current first

J.P. Morgan Securities LLCCurrent
New York, NY · IA capacity

start not retrieved → present
J.P. Morgan Securities LLCCurrent
New York, NY · BC capacity

start not retrieved → present
Chase Investment Services Corp.
New York, NY · IA capacity

Mar 31, 2009 → Oct 1, 2012
Chase Investment Services Corp.
New York, NY · BC capacity

Mar 30, 2009 → Oct 1, 2012
Citigroup Global Markets Inc.
New York, NY · IA capacity

May 29, 2007 → Apr 14, 2009
Citigroup Global Markets Inc.
New York, NY · BC capacity

May 29, 2007 → Apr 14, 2009
Citicorp Investment Services
New York, NY · IA capacity

Apr 12, 2007 → May 29, 2007
Citicorp Investment Services
New York, NY · BC capacity

Apr 11, 2007 → May 29, 2007
Primevest Financial Services, Inc.
New York, NY · IA capacity

Oct 10, 2006 → Apr 5, 2007
Primevest Financial Services, Inc.
New York, NY · BC capacity

Oct 6, 2006 → Apr 5, 2007
Hsbc Brokerage (USA) Inc.
New York, NY · BC capacity

May 14, 2001 → Sep 18, 2001
Charles Schwab & Co., Inc.
Westlake, TX · BC capacity

Nov 1, 1999 → May 15, 2001
Pruco Securities Corporation
Newark, NJ · BC capacity

Aug 31, 1998 → Sep 29, 1999
John Hancock Distributors, Inc.
Boston, MA · BC capacity

Apr 7, 1998 → Aug 24, 1998
Cadaret, Grant & Co., Inc.
Syracuse, NY · BC capacity

Jan 2, 1998 → Mar 10, 1998
Aig Equity Sales Corp.
New York, NY · BC capacity

Aug 29, 1996 → Jan 2, 1998
Mony Securities Corp.
New York, NY · BC capacity

May 5, 1995 → Aug 2, 1996

Source & corrections

Where this page comes from

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