Samuel J. Augustine
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 John Augustine, who also goes by Sam Augustine, was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 1987. Samuel had worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 11, 2009 - December 31, 2011
SECURITIES AMERICA, INC.
March 17, 2000 - May 12, 2009
CINCINNATI ANALYSTS, INC.
January 4, 1999 - March 16, 2000
THE INVESTMENT CENTER, INC.
February 9, 1998 - January 4, 1999
CPA ADVISORS NETWORK, INC.
November 2, 1993 - February 6, 1998
SECURITIES AMERICA, INC.
November 14, 1991 - November 2, 1993
MUTUAL SERVICE CORPORATION
September 11, 1990 - March 30, 1992
JOHN HANCOCK DISTRIBUTORS LLC
July 15, 1988 - May 8, 1992
G. R. PHELPS & CO., INC.
February 23, 1988 - July 16, 1988
B.C. CHRISTOPHER SECURITIES CO.
July 22, 1987 - May 8, 1992
G. R. PHELPS & CO., INC.
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
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
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.
