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MS

Michael Samouce

Some features on this profile are disabled
CRD#: 1403442
MS

Professional summary

Michael Samouce was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Michael is a previously registered financial advisor and started their career in finance in 1986. Prior to being barred, Michael had worked at 13 firms, which includes MERRIMAN CAPITAL INC., TRINITY DISTRIBUTORS LLC, SETON SECURITIES GROUP INC., PARTNERVEST ADVISORY SERVICES LLC, PARTNERVEST SECURITIES INC., AQS ASSET MANAGEMENT L.L.C., TEJAS SECURITIES GROUP INC., APPLIED QUANTITATIVE SOLUTIONS L.L.C., AMHERST SECURITIES GROUP L.P., WESTCAP SECURITIES L.P., WESTCAP GOVERNMENT SECURITIES INC., UNDERWOOD NEUHAUS & CO. INCORPORATED, DOVER GROUP INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael Donnelly Samouce

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 15, 2013 - January 13, 2014

MERRIMAN CAPITAL, INC.

BD
CRD#: 18296
NEW YORK, NY
Past

July 24, 2012 - April 29, 2013

TRINITY DISTRIBUTORS LLC

BD
CRD#: 104084
MEQUON, WI
Past

October 29, 2010 - June 1, 2011

SETON SECURITIES GROUP, INC.

BD
CRD#: 18044
NEW YORK, NY
Past

April 3, 2007 - November 5, 2008

PARTNERVEST ADVISORY SERVICES LLC

RIA
CRD#: 113621
SANTA BARBARA, CA
Past

April 3, 2007 - November 5, 2008

PARTNERVEST SECURITIES, INC.

BD
CRD#: 104134
AUSTIN, TX
Past

May 21, 2004 - October 1, 2008

AQS ASSET MANAGEMENT, L.L.C.

RIA
CRD#: 131544
AUSTIN, TX
Past

September 14, 1999 - May 3, 2005

TEJAS SECURITIES GROUP, INC.

BD
CRD#: 36705
AUSTIN, TX
Past

December 1, 1995 - February 19, 1998

APPLIED QUANTITATIVE SOLUTIONS, L.L.C.

BD
CRD#: 34238
HOUSTON, TX
Past

February 11, 1993 - October 31, 1995

AMHERST SECURITIES GROUP, L.P.

BD
CRD#: 31141
AUSTIN, TX
Past

August 8, 1989 - January 28, 1993

WESTCAP SECURITIES, L.P.

BD
CRD#: 7301
HOUSTON, TX
Past

August 8, 1989 - January 28, 1993

WESTCAP GOVERNMENT SECURITIES, INC.

BD
CRD#: 19645
Past

January 11, 1988 - August 14, 1989

UNDERWOOD, NEUHAUS & CO., INCORPORATED

BD
CRD#: 839
HOUSTON, TX
Past

April 21, 1986 - December 24, 1987

DOVER GROUP, INC.

BD
CRD#: 16809

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/9/2007
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 11/8/1996
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/16/1985
General Securities Representative Examination
General Industry/Product Exam
RR
Series 2
Date: 12/14/1984
Non-Member General Securities Examination

Current Firm

MC
MERRIMAN CAPITAL, INC.
MERRIMAN & CO. | WESTERN CAPITAL FINANCIAL GROUP | SPIDER SECURITIES, INC. | RTX SECURITIES CORPORATION | MERRIMAN CURHAN FORD & CO. | MERRIMAN CAPITAL, INC.

CRD#: 18296 / SEC#: , 8-36420

BD
Terminated by SEC on 09/25/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 06/26/1986
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MERRIMAN HOLDINGS, INCPARENT COMPANY
PILTZ, ADRIANAPRESIDENT; CCO5066217
SCAMBIA, ELLEN MARIECFO1320993

Disclosures

Regulatory Event16
Arbitration1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

MERRIMAN CAPITAL, INC.

CRD#: 18296

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