Samuel R. Shipley
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 Richards Shipley, who also goes by III Samuel Richards Shipley, was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 1984. Samuel had worked at 2 firms and has passed the Series 63, Series 7 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
November 8, 1994 - September 7, 2012
INTEGRAL WEALTH SECURITIES LLC
June 8, 1984 - September 28, 1993
PHILADELPHIA FIRST GROUP, INC.
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
INTEGRAL WEALTH SECURITIES LLC
CRD#: 36143 / SEC#: , 8-47026
Contact information
FINRA licenses (34 States and Territories)
Disclosures
| Regulatory Event | 2 |
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.
