Lois N Yim

Current Employers

Osaic Wealth, Inc.

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2023-12-06
TX	RA	APPROVED	2023-12-05
NJ	RA	APPROVED	2023-09-01

FL RA
APPROVED

Since 2023-12-06
TX RA
APPROVED

Since 2023-12-05
NJ RA
APPROVED

Since 2023-09-01

Branch Locations

10633 Rhodine Road, Riverview, FL 33578 • United States

100 Horizon Blvd. Ste. 105, Hamilton, NJ 08691 • United States

633 Morris Ave., Springfield, NJ 07081 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
J.P. Morgan Securities Llc	New York	NY	07/2014	03/2017
Jpmorgan Chase Bank Na	New York	NY	07/2014	03/2017
Sagepoint Financial, Inc.	Short Hills	NJ	03/2017	09/2023
Osaic Wealth, Inc.	Hamilton	NJ	09/2023	Present

07/2014 → 03/2017

J.P. Morgan Securities Llc

New York, NY
07/2014 → 03/2017

Jpmorgan Chase Bank Na

New York, NY
03/2017 → 09/2023

Sagepoint Financial, Inc.

Short Hills, NJ
09/2023 → Present

Osaic Wealth, Inc.

Hamilton, NJ

Previous Registrations

2017-05-05 → 2023-09-01

Osaic Services, Inc.

Springfield, NJ

Hamilton, NJ

Other Businesses

1. STEPHEN NG FINANCIAL GROUP LLC POSITION: REGISTERED REP NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 175 SECURITIES TRADING HOURS: 175 START DATE: 03/01/2017 ADDRESS: 633 MORRIS AVE, SPRINGFIELD NJ 07081, United States DESCRIPTION: ASSIST FINANCIAL ADVISOR 2. LOIS NG NOTARY POSITION: Notary NATURE: Notary Public INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 12/02/2020 ADDRESS: 633 Morris Ave, Springfield NJ 07081, United States DESCRIPTION: Notary Public 3. REVAYA LEGACY INC POSITION: member NATURE: 501c3 INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 04/30/2025 ADDRESS: 15318 VALENCIA DEL SOL ST, WIMAUMA FL 33598, United States DESCRIPTION: member of 501c3

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2017-05-05
S63	Uniform Securities Agent State Law Examination	2014-10-31

S66 Uniform Combined State Law Examination

2017-05-05
S63 Uniform Securities Agent State Law Examination

2014-10-31

Designations

Other Names

Lois Natalie Ng
Lois N Ng

View on SEC IAPD