Samuel L. Smalls
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 Leroy Smalls, who also goes by Samuel Leroy Black, was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 2000. Samuel had worked at 6 firms and has passed the Series 63, SIE, Series 50, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 17, 2016 - September 30, 2019
GEORGE K. BAUM & COMPANY
March 27, 2009 - February 12, 2016
JEFFERIES LLC
September 18, 2007 - March 27, 2009
DEPFA FIRST ALBANY SECURITIES, LLC
August 6, 2007 - September 19, 2007
GLEACHER & COMPANY SECURITIES, INC.
April 2, 2007 - July 27, 2007
RICE FINANCIAL PRODUCTS COMPANY
July 17, 2000 - April 26, 2007
M. R. BEAL & COMPANY
State Registrations and Notice Filings
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Exams
Current Firm
GEORGE K. BAUM & COMPANY
CRD#: 36354 / SEC#: , 8-47195
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
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.
