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RIA / WealthAdvisordual registered (broker-dealer)15 years in industry

Francis Sam

Advisor at J.P. MORGAN SECURITIES LLC

Chester, VA | Richmond, VA | Henrico, VA | Chesterfield, VA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:ade669af-68db-80a9-0a5e-46947af44de3

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Apr 26, 2018 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: J.P. MORGAN SECURITIES LLC
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 1, 2011earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 2
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Apr 26, 2018
First registration: Apr 26, 2018
Dual registered: yes, broker-dealer
Other names: Francis Kakra Sam
IAPD individual key: 6245850

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
J.P. MORGAN SECURITIES LLC	Wirehouse	Sep 28, 2020	n/a	yes	Henrico, VA\|Chesterfield, VA\|Chester, VA\|Richmond, VA\|Richmond, VA	Current employment
CUNA BROKERAGE SERVICES, INC.	Former SEC adviser	Jul 19, 2019	Sep 21, 2020	no	WAVERLY, IA\|Richmond, VA\|Richmond, VA\|RICHMOND, VA\|RICHMOND, VA\|RICHMOND, VA\|RICHMOND, VA	Previous registration
MORGAN STANLEY	Wirehouse	Apr 26, 2018	Jul 5, 2019	no	Richmond, VA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CUNA BROKERAGE SERVICES, INC.	J.P. MORGAN SECURITIES LLC	Sep 21, 2020	Sep 28, 2020	7	Firm change	Ibd to wirehouse
MORGAN STANLEY	CUNA BROKERAGE SERVICES, INC.	Jul 5, 2019	Jul 19, 2019	14	Firm change	Wirehouse to ibd

Relationships

Registered with (3)

→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: current employment
Sep 28, 2020 to presentfactForm ADV
→ CUNA BROKERAGE SERVICES, INC.Registered adviserregistration: previous registration
Jul 19, 2019 to Sep 21, 2020factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Apr 26, 2018 to Jul 5, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ade669af-68db-80a9-0a5e-46947af44de3
First observed: Apr 26, 2018
Last observed: Sep 15, 2026 5 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

Francis Sam

Advisor at J.P. MORGAN SECURITIES LLC

Chester, VA | Richmond, VA | Henrico, VA | Chesterfield, VA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:ade669af-68db-80a9-0a5e-46947af44de3

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:08 PM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

J.P. MORGAN SECURITIES LLC

Wirehouse

Sep 28, 2020

n/a

yes

Henrico, VA|Chesterfield, VA|Chester, VA|Richmond, VA|Richmond, VA

Current employment

CUNA BROKERAGE SERVICES, INC.

Former SEC adviser

Jul 19, 2019

Sep 21, 2020

Previous registration

MORGAN STANLEY

Wirehouse

Apr 26, 2018

Jul 5, 2019

Richmond, VA

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

CUNA BROKERAGE SERVICES, INC.

J.P. MORGAN SECURITIES LLC

Sep 21, 2020

Sep 28, 2020

Firm change

Ibd to wirehouse

MORGAN STANLEY

CUNA BROKERAGE SERVICES, INC.

Jul 5, 2019

Jul 19, 2019

Firm change

Wirehouse to ibd