Samuel N. Smith

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CRD#: 1671274

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 Nimrod Smith, who also goes by Sam Smith, was a registered financial advisor .

Samuel is a previously registered financial advisor and started their career in finance in 1987. Samuel had worked at 9 firms and has passed the Series 66, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Sam Smith

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

May 29, 2007 - January 27, 2009

WORLD CAPITAL BROKERAGE, INC.

CRD#: 37

DENVER, CO

Past

April 7, 2005 - April 17, 2007

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

LEXINGTON, SC

Past

February 18, 2005 - April 11, 2007

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

LEXINGTON, SC

Past

October 20, 2004 - January 26, 2005

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

CINCINNATI, OH

Past

October 14, 2004 - January 26, 2005

ON INVESTMENT MANAGEMENT CO

RIA

CRD#: 105662

LEXINGTON, SC

Past

February 3, 2004 - March 23, 2004

HORNOR, TOWNSEND & KENT, LLC

RIA

CRD#: 4031

LEXINGTON, SC

Past

January 17, 2002 - March 23, 2004

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

CONSHOHOCKEN, PA

Past

October 5, 2000 - January 28, 2002

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

August 3, 2000 - October 6, 2000

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

May 21, 1987 - August 23, 2000

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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

IAR

Series 66

Date: 3/19/2001

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/29/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/16/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/2/2001

General Securities Principal Examination

Current Firm

WORLD CAPITAL BROKERAGE, INC.

A.G.F. SPONSORS, INC. | WORLD CAPITAL BROKERAGE, INC. | AMERICAN GROWTH FUND SPONSORS, INC.

CRD#: 37 / SEC#: , 8-6805

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

1636 N. Logan Street, Denver, CO 80203

Mailing Address

1636 N. Logan Street, Denver, CO 80203

Phone number

(303) 626-0631

Established

Colorado since 07/18/1958

Firm type

Corporation

Fiscal year end

May

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
AGF HOLDINGS INC.	OWNER
BLUM, PATRICIA ANN	VICE PRESIDENT	4467584
GAUGHAN, MICHAEL LAWRENCE	VICE PRESIDENT, SECRETARY	2915597
TAGGART, TIMOTHY EUGENE	CHIEF FINANCIAL OFFICER, PRESIDENT, CHIEF COMPLIANCE OFFICER, TREASURER, SALES, MARKETING, TRAINING & DIRECTOR	1075525

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Samuel N. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

THE O.N. EQUITY SALES COMPANY

ON INVESTMENT MANAGEMENT CO

HORNOR, TOWNSEND & KENT, LLC

HORNOR, TOWNSEND & KENT, LLC

SUNAMERICA SECURITIES, INC.

WALNUT STREET SECURITIES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/19/2001

Series 63

Date: 5/29/1987

Series 7

Date: 5/16/1987

Series 24

Date: 1/2/2001

Current Firm

WORLD CAPITAL BROKERAGE, INC.

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

WORLD CAPITAL BROKERAGE, INC.

TRUST BUT VERIFY

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