Samuel F. Beach
Professional summary
Samuel Ferguson Beach JR, who also goes by Sam Beach, Samuel Ferguson Beach, is a registered financial advisor currently at SARGENT INVESTMENT GROUP located in Bethesda, Maryland.
Samuel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Samuel has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Samuel Ferguson Beach JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 14, 2018 - Present
SARGENT INVESTMENT GROUP
Office #1: 4920 Elm Street Suite 305, Bethesda, MD 20814July 1, 2003 - August 7, 2018
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - August 7, 2018
WELLS FARGO CLEARING SERVICES, LLC
December 25, 1995 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
October 28, 1994 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
October 19, 1983 - November 7, 1994
KIDDER, PEABODY & CO. INCORPORATED
Primary Firm SEC Registration
SARGENT INVESTMENT GROUP
CRD#: 297499 / SEC#: 801-113542
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(8/14/2018)
Exams
Current Firm
SARGENT INVESTMENT GROUP
CRD#: 297499 / SEC#: 801-113542
Contact information
SEC notice filing (19 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,258 |
| AUM (Assets Under Management) | $ 1,282,044,465 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/23/2022 |
Red Flags
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