Eric C. Samuelson
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.
Eric Carl Samuelson was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1985. Eric had worked at 5 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 15, 2012 - December 11, 2013
DM WEALTH ADVISORS, LLC
December 2, 1993 - December 17, 1993
OSAIC WEALTH, INC.
January 6, 1993 - March 12, 1993
MARINER FINANCIAL SERVICES, INC.
June 14, 1986 - December 31, 1992
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 20, 1985 - May 5, 1986
CINCINNATI ANALYSTS, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
DM WEALTH ADVISORS, LLC
CRD#: 164860 / SEC#:
Contact information
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.
