Thomas E. Samuels
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.
Thomas Edwin Samuels JR, who also goes by Tom Samuels Jr, was a registered financial advisor .
Thomas is a previously registered financial advisor and started their career in finance in 1983. Thomas had worked at 10 firms and has passed the Series 65, Series 63, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 1, 2015 - April 13, 2016
FINANCIAL ENGINES ADVISOR CENTER, LLC
August 12, 2004 - May 14, 2015
PALANTIR CAPITAL MANAGEMENT, LTD.
March 24, 2004 - December 16, 2004
CAMBRIDGE INVESTMENT RESEARCH, INC.
March 16, 2004 - December 16, 2004
CAMBRIDGE INVESTMENT RESEARCH, INC.
April 9, 2003 - March 16, 2004
FSC SECURITIES CORPORATION
January 13, 2000 - July 24, 2003
OSAIC WEALTH, INC.
January 13, 2000 - July 24, 2003
OSAIC WEALTH, INC.
June 1, 1998 - January 10, 2000
OSAIC FA, INC.
March 23, 1994 - June 1, 1998
LINCOLN FINANCIAL DISTRIBUTORS, INC.
March 31, 1989 - December 31, 1989
MUTUAL SERVICE CORPORATION
February 25, 1986 - March 31, 1989
LOWRY FINANCIAL SERVICES CORPORATION
January 23, 1986 - February 28, 1986
INTEGRATED RESOURCES EQUITY CORPORATION
July 20, 1983 - January 21, 1986
LOWRY FINANCIAL SERVICES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FINANCIAL ENGINES ADVISOR CENTER, LLC
CRD#: 109238 / SEC#: 801-57511
Contact information
Documents
Red Flags
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