Samuel G. Reese
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 Gibson Reese, who also goes by Sammy Reese, Samuel Gibson Reese Jr, was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 1984. Samuel had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9, Series 10 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
June 12, 2015 - September 12, 2017
CAPE SECURITIES INC.
January 8, 2015 - July 10, 2015
QUEST CAPITAL STRATEGIES, INC.
September 19, 2011 - September 3, 2013
EVERLAKE DISTRIBUTORS, LLC
November 19, 2003 - September 19, 2011
ALFS, INC.
October 15, 2002 - November 12, 2003
BLUE VASE SECURITIES, LLC
April 12, 2001 - October 22, 2002
MORGAN KEEGAN & COMPANY, LLC
August 17, 1998 - April 12, 2001
REGIONS INVESTMENT COMPANY, INC.
March 21, 1996 - December 4, 1996
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 16, 1991 - April 11, 1995
FIRST UNION BROKERAGE SERVICES, INC.
September 12, 1989 - May 31, 1991
RAYMOND JAMES & ASSOCIATES, INC.
June 20, 1984 - September 30, 1989
THE ROBINSON-HUMPHREY COMPANY, LLC
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
CAPE SECURITIES INC.
CRD#: 7072 / SEC#: , 8-20747
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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