Sam N. Wilson
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.
Sam Newt Wilson JR was a registered financial professional .
Sam is a previously registered financial professional and started their career in finance in 1984. Sam had worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 27 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
December 7, 2015 - April 29, 2016
FIRST DALLAS SECURITIES INCORPORATED
June 27, 2012 - December 31, 2012
BALDWIN ANTHONY SECURITIES, INC.
November 7, 1988 - March 3, 2008
STONEWALL SECURITIES INC.
June 20, 1984 - November 14, 1988
WEBER, HALL, SALE & ASSOCIATES, INC.
Primary Firm SEC Registration
FIRST DALLAS SECURITIES INCORPORATED
CRD#: 24549 / SEC#: 801-66208, 8-41231
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
FIRST DALLAS SECURITIES INCORPORATED
CRD#: 24549 / SEC#: 801-66208, 8-41231
Contact information
SEC notice filing (11 States and Territories)
FINRA licenses (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 266 |
| AUM (Assets Under Management) | $ 335,711,026 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
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.
