BS
Bachar M. Samawi
LPL ENTERPRISE
W DOVER, VT
Some features on this profile are disabled
CRD#: 1723236
BS
Professional summary
Bachar Mahmoud Samawi, who also goes by Bachar Samawi, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in W Dover, Vermont.
Bachar is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Bachar has worked at 6 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bachar Samawi
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.
I am also Mentor with Founder Institute https://fi.co/ It is investment related. Founder Institute is headquartered at 3337 El Camino Real CA Palo Alto, CA USA. I am affiliated with the Qatar chapter. Founder Institute is the world's largest Startup incubator/accelerator. It mentors aspiring entrepreneurs with innovative business ideas. My position is Mentor. I am a volunteer, but in case the entrepreneur pitching an idea does ultimately launch the business, I may receive a nominal equity stake, whereby the size of the stake is typically nominal and is decided by Founder Institute as collaborative equity. I started in January 2022. I devote about 1 hour per month. I devote typically 0 hours during securities trading hours. I typically serve on a panel to listen to ideas being pitched, and I provide my feedback and advice to the entrepreneur making the pitch. I provide encouragement, tips and my knowledge and expertise to help entrepreneur be more effective in their initiative. I am also Strategist/Advisor with Meridian Impact Partners, Inc. It is investment related. Meridian is headquartered at 5800, Hwy 3B Trail, BC, Canada V1R 4X2 Meridian provides advisory services. My position is Strategist I am a volunteer, I do not receive any compensation. However, in case I see fit with an initiative being presented, I may look to get involved directly with the initiative/venture, typically looking to be a co-founder. I started in December 2021. I devote about 2 hours per month. I devote typically 0 hours during securities trading hours. I typically attend the periodic conference to listen to new initiatives and in case I am interested in participating in the effort, I typically look to get involved as a co-founder or strategic partner. Alternatively, I may share an initiative I am working on in case there is interest from someone else to join my efforts as a strategic partner. or possible co-founder Initiatives I typically focus on are startup/ventures, preferably adhering to ESG principles and goals. BACHAR SAMAWI INNOVATIONS, LLC(PRIOR TO FORMALIZATION IN JAN 2016, WORKED UNDER DBA BACHAR SAMAWI VENTURES) POSITION: Founder & CEO, ESG-SRI-Impact Investment Strategist , Author & Poet NATURE: Strategy/Consulting/Publishing ESG-SRI-Impact INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 8 START DATE: 04/01/2011 ADDRESS: 266A Handle Road Box 842, West Dover VT 05356, United States DESCRIPTION: As founder, I am involved in all aspects of the business. I primarily look to engage and enter into collaboration agreements with innovators, looking to secure potential strategic partners for the ventures to help them expand the commercialization of their products and funding needs, looking to act as co-founder for the new ventures. In addition, I am involved in publishing. I published a poetry book, while currently working on additional books. I also sometimes publish economics/financial markets articles, primarily on Seeking Alpha and/or LinkedIn. YALE ALUMNI SCHOOL COMMITTEE POSITION: Member / Volunteer NATURE: Educational Services INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2013 ADDRESS: 38 Hillhouse Avenue, New Haven CT 06511, United States DESCRIPTION: I interview applicants to Yale University (primarily from VT) TANNERY WILDLIFE REFUGE, INC. POSITION: Member of the Board NATURE: Non-Profit and Charitable Organization INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2022 ADDRESS: 226 Handle Road, West Dover VT 05356, United States DESCRIPTION: As Member of The Board, I attend meetings and volunteer for some tasks if needed and suitable
CRS (Client Relationship Summary) - RIA
Click below to view Bachar Mahmoud Samawi's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Bachar Mahmoud Samawi's 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®
NoneExperience
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #2: 500 Edgewater Drive Suite 595, Wakefield, MA 01880RIA
BD
CRD#: 8733
W DOVER, VT
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 500 Edgewater Drive Suite 595, Wakefield, MA 01880RIA
BD
CRD#: 8733
WAKEFIELD, MA
Past
June 8, 2023 - November 20, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Dover, NH
Past
April 4, 2023 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Dover, NH
Past
March 22, 1991 - February 14, 1992
SANWA UNIVERSAL SECURITIES CO., LLC
BD
CRD#: 8427
Past
February 25, 1989 - February 14, 1992
SANWA SECURITIES (USA) CO., L.P.
BD
CRD#: 19697
Past
December 14, 1987 - January 25, 1989
MABON, NUGENT & CO.
BD
CRD#: 2617
Past
August 18, 1987 - December 9, 1987
MOSELEY SECURITIES CORPORATION
BD
CRD#: 7908
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Maine(11/14/2024)
RR
Massachusetts(11/14/2024)
RR
New Hampshire(11/14/2024)
IAR
New Hampshire(11/14/2024)
RR
New York(11/14/2024)
RR
Vermont(11/14/2024)
IAR
Vermont(11/14/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/3/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
