Lois Yim (CRD# 5679510) is an Investment Advisor Representative working at Osaic Wealth, Inc. in Hamilton, NJ and has over 9 years of experience in the finance industry. Lois Yim has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
CRD# 2083423
Main Street Financial Solutions, LLC
CRD# 4874990
Prudential Financial Planning Services
CRD# 4125056
Merrill Lynch, Pierce, Fenner & Smith Incorporated
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Osaic Wealth, Inc. | Hamilton, NJ | Sep 2023 - Current | < 1 |
| Sagepoint Financial, Inc. | Short Hills, NJ | Mar 2017 - Sep 2023 | 6 |
| J.p. Morgan Securities LLC | New York, NY | Jul 2014 - Mar 2017 | 2 |
| Jpmorgan Chase Bank Na | New York, NY | Jul 2014 - Mar 2017 | 2 |
| Villanova University | Villanova, PA | Aug 2010 - May 2014 | 3 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Oct 2014 |
| S66 | NASAA Uniform Combined State Law Examination | May 2017 |
- FL
- NJ
- TX
-
Total Assets Under Management94,558MILLIONS
-
Total Number of Accounts437,201ACCOUNTS
-
Average Account Value$216,280
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
About Wealthminder
Wealthminder was created for one simple reason: To help people get the financial assistance they need to achieve their long-term financial goals.
Wealthminder is a database derived from SEC.gov data covering every Investment Advisor Representative in the country. We work hard to collect and provide you the information you need to find a financial advisor who’s right for you.
Finding a Financial Advisor through Wealthminder
Historically finding and hiring a financial advisor was hard. Wealthminder was built to make the process much easier.
The best way to use Wealthminder is to take advantage of our free proposal system. All you have to do is take a few minutes of your time to describe your situation and the assistance you are looking for.
Wealthminder then sends your request to our network of prescreened financial advisors. If a financial advisor is interested in your business, they will submit a proposal to you.
You review the proposals you receive and decide if you’d like to have a follow-up call with one or more of the financial advisors.
Throughout the process, you maintain control. We only share your contact information with a financial advisor once you ask for an introduction.