Samuel N. Boldrick Iii
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 Neill Boldrick Iii, who also goes by Sam Boldrick III, Samuel Neill Boldrick III, was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 1983. Samuel had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 24, Series 28 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 2012 - December 19, 2016
M. E. ALLISON & CO., INC.
March 25, 1997 - March 4, 2013
PRESIDIO FINANCIAL SERVICES, INC.
October 17, 1989 - February 18, 1997
HILLTOP SECURITIES INC.
September 8, 1986 - November 18, 1989
ROTAN MOSLE INC.
September 2, 1986 - September 12, 1986
UBS FINANCIAL SERVICES INC.
May 24, 1983 - September 9, 1986
UNDERWOOD, NEUHAUS & CO., INCORPORATED
Primary Firm SEC Registration
M. E. ALLISON & CO., INC.
CRD#: 1047 / SEC#: 801-129805, 8-1402
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
Series 28
Date: 2/12/1996
Introducing Broker/Dealer Financial Operations Principal ExaminationSeries 8
Date: 1/23/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
M. E. ALLISON & CO., INC.
CRD#: 1047 / SEC#: 801-129805, 8-1402
Contact information
SEC notice filing (2 States and Territories)
FINRA licenses (16 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 405 |
| AUM (Assets Under Management) | $ 287,435,346 |
Disclosures
| Regulatory Event | 3 |
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.
