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SG

Samuel P. Grier

CASTLE PLACEMENT
New York, NY 10036
Some features on this profile are disabled
CRD#: 1304733
SG

Professional summary

Samuel Philip Grier, who also goes by Sam Grier, Samuel P Grier, is a registered financial professional currently at CASTLE PLACEMENT, LLC located in New York, New York.

Samuel is registered as a RR (Registered Representative) and started their career in finance in 1984. Samuel has worked at 14 firms and has passed the Series 63, Series 99TO, SIE, Series 79, Series 87, Series 86, Series 7 and Series 16 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sam Grier | Samuel P Grier

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) - BD

Click below to view Samuel Philip Grier's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

November 22, 2024 - Present

CASTLE PLACEMENT, LLC

Office #1: 1460 Broadway, New York, NY 10036
BD
CRD#: 189511
New York, NY
Past

December 22, 2015 - September 17, 2024

PICKWICK CAPITAL PARTNERS, LLC

BD
CRD#: 130672
WHITE PLAINS, NY
Past

November 14, 2012 - December 31, 2013

SOURCE CAPITAL GROUP, INC.

BD
CRD#: 36719
WESTPORT, CT
Past

September 2, 2011 - August 7, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

April 22, 2002 - May 6, 2003

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
ST. PETERSBURG, FL
Past

June 5, 2000 - November 21, 2001

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

April 21, 1998 - April 13, 2000

CREDIT AGRICOLE SECURITIES (USA) INC.

BD
CRD#: 190
NEW YORK, NY
Past

April 8, 1997 - November 14, 1997

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

March 10, 1995 - February 19, 1997

ABN AMRO SECURITIES LLC

BD
CRD#: 6540
NEW YORK, NY
Past

March 3, 1993 - January 30, 1995

NOMURA SECURITIES INTERNATIONAL, INC.

BD
CRD#: 4297
NEW YORK, NY
Past

September 14, 1992 - February 8, 1993

CITATION FINANCIAL GROUP, L.P.

BD
CRD#: 28305
NEW YORK, NY
Past

March 1, 1991 - March 9, 1992

RBC DANIELS, L.P.

BD
CRD#: 14073
DENVER, CO
Past

October 15, 1986 - January 4, 1990

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

October 5, 1984 - November 10, 1986

MORGAN STANLEY DW INC.

BD
CRD#: 7556

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(11/22/2024)
RR
New York
(11/22/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 10/1/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 12/20/2012
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 87
Date: 12/28/2011
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 86
Date: 11/28/2011
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 7
Date: 9/1/2011
General Securities Representative Examination
General Industry/Product Exam
RR
Series 16
Date: 11/24/1993
NYSE Supervisory Analyst Examination
SRO Registrations
RR
FINRA

Current Firm

CP
CASTLE PLACEMENT, LLC
CASTLE PLACEMENT, LLC

CRD#: 189511 / SEC#: , 8-69612

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

Main Address
1460 Broadway, New York, NY 10036
Mailing Address
1460 Broadway, New York, NY 10036
Phone number
(212) 418-1180
Established
Delaware since 03/13/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 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#
CASTLE PLACEMENT GROUP LLCMEMBER
BEATON, DANIEL STEWARTFINOP4240769
LUFTIG, RICHARD STEVENCCO, EXEC REP, AML SUPERVISOR2391290
MARGOLIS, KENNETH HARRYMANAGER, HOME OFFICE SUPERVISOR2230861

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

CASTLE PLACEMENT, LLC

CRD#: 189511New York, NY 10036

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