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Samuel E. Navarro

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CRD#: 1183471
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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 Enrique Navarro was a registered financial professional .

Samuel is a previously registered financial professional and started their career in finance in 1983. Samuel had worked at 8 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 3 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 26, 2010 - March 12, 2026

INTE SECURITIES LLC

BD
CRD#: 47107
NEW YORK, NY
Past

April 4, 2009 - August 31, 2010

CHERTOFF CAPITAL, LLC

BD
CRD#: 145134
WASHINGTON, DC
Past

November 7, 2005 - November 11, 2008

COWEN AND COMPANY

BD
CRD#: 7616
NEW YORK, NY
Past

April 30, 2001 - May 23, 2001

ABN AMRO INCORPORATED

BD
CRD#: 15776
STAMFORD, CT
Past

May 8, 1998 - April 30, 2001

ABN AMRO SECURITIES LLC

BD
CRD#: 6540
NEW YORK, NY
Past

July 7, 1994 - April 13, 1998

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

May 10, 1993 - June 22, 1994

ABN AMRO SECURITIES LLC

BD
CRD#: 6540
NEW YORK, NY
Past

February 5, 1990 - February 17, 1993

NEEDHAM & COMPANY, LLC

BD
CRD#: 16360
NEW YORK, NY
Past

September 16, 1983 - August 1, 1989

LADENBURG THALMANN & CO. INC.

BD
CRD#: 505
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/16/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/5/2005
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 10/6/1986
National Commodity Futures Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/4/2006
General Securities Principal Examination

Current Firm

IS
INTE SECURITIES LLC
EQUINOX SECURITIES, LLC | TRUMP SECURITIES, LLC | INTE SECURITIES LLC

CRD#: 47107 / SEC#: , 8-51667

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
7000 W Palmetto Park Road Suite 503, Boca Raton, FL 33433
Mailing Address
7000 W Palmetto Park Road Suite 503, Boca Raton, FL 33433
Phone number
(212) 897-1694
Established
Florida since 08/14/2018
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SPINDEL, ALANMEMBER6141844
SPINDEL, HOWARDMEMBER708042
SPINDEL, JAYMEMBER1839344
STUPAY, MICHAEL ELLIOTMEMBER2287906
STUPAY, SHELLEYMEMBER5570644
OBSBAUM, FREDRIC MICHAELCEO / CFO / CCO1160811

Disclosures

Regulatory Event1

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.

Company Information

INTE SECURITIES LLC

CRD#: 47107

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