Robert H. Samuel
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.
Robert H Samuel, who also goes by Robert Harry Samuel, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1985. Robert had worked at 7 firms and has passed the Series 63, Series 7TO, SIE 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
August 17, 2022 - August 28, 2024
UMERGENCE LLC
February 11, 2019 - June 17, 2020
CCO CAPITAL, LLC
September 28, 1994 - November 28, 2001
HLH SECURITIES, INC.
December 12, 1990 - November 20, 1992
CARTWRIGHT AND WALKER SECURITIES, INCORPORATED
March 1, 1990 - November 7, 1990
GLENFED BROKERAGE SERVICES
March 30, 1987 - February 14, 1990
AUGUST MARKETING CORPORATION
October 22, 1985 - March 12, 1987
DASEKE & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 2/10/2019
General Securities Representative ExaminationCurrent Firm
UMERGENCE LLC
CRD#: 284368 / SEC#: , 8-69801
Contact information
FINRA licenses (53 States and Territories)
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.
