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SS

Samuel D. Skinner

KIPLING CAPITAL
Mill Valley, CA 94941
Some features on this profile are disabled
CRD#: 1543650
SS

Professional summary


Samuel Dickson Skinner, who also goes by Sam Skinner, Samuel D Skinner, is a registered financial professional currently at KIPLING CAPITAL, INC. located in Mill Valley, California.

Samuel is registered as a RR (Registered Representative) and started their career in finance in 1987. Samuel has worked at 7 firms and has passed the Series 63, SIE, Series 87, Series 7, Series 3 and Series 24 exams.

top-8-questions

Question & Answer


Are you a "fiduciary"?
No

Aliases


Sam Skinner | Samuel D Skinner

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 Dickson Skinner'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

April 19, 2020 - Present

KIPLING CAPITAL, INC.

Office #1: 100 Shoreline Hwy. 200-b, Mill Valley, CA 94941
BD
CRD#: 41196
Mill Valley, CA
Past

August 28, 2018 - April 22, 2020

ALL OF US SECURITIES LLC

BD
CRD#: 292163
SAN JOSE, CA
Past

February 17, 2012 - August 28, 2018

WOODSIDE CAPITAL SECURITIES LLC

BD
CRD#: 152603
PALO ALTO, CA
Past

September 9, 1998 - January 26, 2006

MOORS & CABOT, INC.

BD
CRD#: 594
BOSTON, MA
Past

August 25, 1992 - September 9, 1998

DAKIN SECURITIES CORPORATION

BD
CRD#: 6142
SAN FRANCISCO, CA
Past

May 26, 1989 - September 12, 1990

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

September 22, 1987 - June 23, 1989

DREXEL BURNHAM LAMBERT INCORPORATED

BD
CRD#: 7323

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
Alabama
(9/2/2021)
RR
Arizona
(4/22/2020)
RR
California
(4/19/2020)
RR
Colorado
(12/8/2020)
RR
Connecticut
(4/20/2020)
RR
Florida
(4/20/2020)
RR
Georgia
(6/26/2020)
RR
Idaho
(1/22/2024)
RR
Illinois
(4/22/2020)
RR
Indiana
(6/30/2020)
RR
Kentucky
(1/23/2024)
RR
Maryland
(4/20/2020)
RR
Massachusetts
(4/27/2020)
RR
Minnesota
(1/19/2024)
RR
Montana
(5/12/2020)
RR
Nebraska
(12/22/2020)
RR
New York
(5/27/2020)
RR
North Carolina
(8/13/2021)
RR
Ohio
(2/25/2021)
RR
Oklahoma
(6/26/2020)
RR
Oregon
(6/26/2020)
RR
Pennsylvania
(5/8/2023)
RR
Tennessee
(9/18/2024)
RR
Texas
(5/6/2023)
RR
Virginia
(12/9/2020)
RR
Washington
(4/23/2020)
RR
Wyoming
(5/8/2023)

Exams


State Security Law Exam
RR
Series 63
Date: 2/22/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 24
Date: 12/20/2013
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm


KC
KIPLING CAPITAL, INC.
ALTOS SECURITIES, INC. | LOS ALTOS INVESTMENT SECURITIES, INC. | KIPLING CAPITAL, INC.

CRD#: 41196 / SEC#: , 8-49349

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information


Main Address
100 Shoreline Hwy. 200-b, Mill Valley, CA 94941
Mailing Address
100 Shoreline Hwy. 200-b, Mill Valley, CA 94941
Phone number
(415) 339-4080
Established
California since 02/23/1996
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (42 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#
BIGONY, FREDERICK RANDALLPRESIDENT, TREASURER, AND CHIEF COMPLIANCE OFFICER4870187
HAKE, RICHARD EDWARDMANAGING DIRECTOR852030
ROESLER, PAUL JOHNMANAGING DIRECTOR AND EXECUTIVE VICE PRESIDENT2324720
SKINNER, SAMUEL DICKSONMANAGING DIRECTOR AND SECRETARY1543650

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


KIPLING CAPITAL, INC.

CRD#: 41196Mill Valley, CA 94941

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