Lorraine Sim, financial advisor Los Angeles CA
86 score

Lorraine Sim

CRD Number: 5607703
Current Firm: J.p. Morgan Securities LLC

Lorraine Sim (CRD# 5607703) is an Investment Advisor Representative working at J.p. Morgan Securities LLC in Los Angeles, CA and has over 7 years of experience in the finance industry. Lorraine Sim 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.

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Professional Designations
Company Name Location Dates Years
Grand Stoneman Partnership, LP Alhambra, CA Apr 2014 - Current 2
J.p. Morgan Securities LLC Long Beach, CA Apr 2013 - Current 3
Bancwest Investment Services Beverly Hills, CA Dec 2011 - Apr 2013 1
Bank Of The West Beverly Hills, CA Dec 2011 - Apr 2013 1
Essex National Securities Inc. Santa Fe Springs, CA Feb 2010 - Dec 2011 1
Banco Popular Santa Fe Springs, CA Feb 2007 - Dec 2011 4
Lpl Financial Santa Fe Springs, CA Sep 2008 - Feb 2010 1
Bank Of America Rowland Heights, CA May 2003 - Jan 2007 3
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Jan 2009
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Lorraine K. Sim
Phone Number: 800-999-2000
Firm Website: https://www.jpmorgan.com
Registered State(s):
  • CA
  • TX
By the Numbers
  • Total Assets Under Management
    70,743
    MILLIONS
  • Total Number of Accounts
    344,720
    ACCOUNTS
  • Average Account Value
    $205,219
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Performance-based fees
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, 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

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BADGES
86

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