Samuel A. Fiorentino
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Samuel Anthony Fiorentino, who also goes by Sam Fiorentino, was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 1982. Samuel had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 22, 2002 - December 31, 2020
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
January 4, 2002 - December 31, 2020
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
March 15, 1999 - December 31, 2001
LEGACY FINANCIAL SERVICES, INC.
March 7, 1997 - March 10, 1999
HIMCO DISTRIBUTION SERVICES COMPANY
April 21, 1987 - February 12, 1997
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
November 15, 1982 - June 23, 1987
NYLIFE SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
