Samuel T. Adams
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.
Samuel Thomas Adams was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 1987. Samuel had worked at 7 firms and has passed the Series 63, 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 9, 2013 - December 1, 2016
GAR WOOD SECURITIES, LLC
December 12, 2011 - June 4, 2013
IMM EXECUTION SERVICES LLC
January 20, 2010 - July 18, 2011
MEB OPTIONS, LLC
December 4, 2002 - January 6, 2010
MF GLOBAL INC.
December 1, 1999 - April 19, 2002
HAPOALIM SECURITIES USA, INC.
August 11, 1997 - December 31, 1997
MF GLOBAL INC.
June 22, 1993 - March 25, 1997
WG TRADING COMPANY LIMITED PARTNERSHIP
February 26, 1991 - July 3, 1991
WG TRADING COMPANY LIMITED PARTNERSHIP
March 24, 1987 - December 31, 1992
WALSH, GREENWOOD & CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
GAR WOOD SECURITIES, LLC
CRD#: 138033 / SEC#: , 8-67143
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GERECKE, DENNIS ROBERT | CLASS A MEMBER, EVP, COO, ROSFP | 1856554 |
| JERSEY, ROBERT STANTON | CEO, CLASS A MEMBER, SOLE MGR. | 1592359 |
| ROETTGER, ANDREW | CLASS B MEMBER | 7427489 |
| JERSEY, RICHARD ANDREW | CLASS B MEMBER | 8002945 |
| DOOLEY, BRADFORD R | OUTSIDE FINOP, PRIMARY FINANCIAL OFFICER, PRIMARY OPERATIONS OFFICER | 4308078 |
| GANTAR, CRAIG MICHAEL | CLASS B MEMBER, SVP, SALES MANAGER | 3238628 |
| GOUWENS, SHERRY LEE | CLASS B MEMBER , CHIEF ADMINISTRATIVE OFFICER | 4458617 |
| JERSEY, ROBERT COLEMAN | CLASS B MEMBER, SVP - SENIOR RELATIONSHIP MGR | 5870086 |
| TATTAS, MICHAEL CARL | CLASS B MEMBER, CHIEF COMPLIANCE OFFICER | 4386824 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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