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Samuel Anthony Guidetti Iii

CRD# 1834494·Registered 1989 - 2016
Previously Registered: Being a previously registered professional could mean that Samuel 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.

Professional Summary

Samuel Anthony Guidetti III, who also goes by Samuel A Guidetti III, was a registered financial advisor. Samuel was a previously registered financial professional and started their career in finance 1989 - 2016. Samuel had worked at 13 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Samuel A Guidetti Iii

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Videos & Posts

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

37 years in the financial services industry

Current & Past Employments

MLV & CO. LLC·CRD# 150959
BD
Arlington, VA
February 1, 2016 - December 14, 2016
B. RILEY SECURITIES, INC.·CRD# 25027
BD
New York, NY
October 24, 2014 - December 14, 2016
AEGIS CAPITAL CORP.·CRD# 15007
BD
New York, NY
June 24, 2013 - October 8, 2014
RBC CAPITAL MARKETS, LLC·CRD# 31194
BD
New York, NY
July 14, 2009 - February 22, 2013
HILL THOMPSON MAGID & CO., INC.·CRD# 2202
BD
Jersey City, NJ
September 29, 2006 - October 13, 2009
BTIG, LLC·CRD# 122225
BD
New York, NY
July 22, 2005 - July 21, 2006
ANDREW GARRETT INC.·CRD# 29931
BD
New York, NY
May 30, 2003 - July 5, 2005
BROKERAGEAMERICA, LLC·CRD# 47966
BD
New York, NY
April 15, 2002 - April 26, 2005
BROKERAGEAMERICA, INC·CRD# 103942
BD
Ne W York, NY
May 22, 2001 - April 15, 2002
DEUTSCHE IXE, LLC·CRD# 7172
BD
New York, NY
April 7, 1998 - May 15, 2001
CHARLES SCHWAB & CO., INC.·CRD# 5393
BD
Westlake, TX
December 8, 1995 - March 18, 1998
UBS CAPITAL MARKETS L.P.·CRD# 2692
BD
Stamford, CT
September 28, 1995 - March 27, 1998
HERZOG, HEINE, GEDULD, LLC·CRD# 2186
BD
New York, NY
August 22, 1989 - December 7, 1995

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Current Firm

M&
MLV & CO. LLC

MCNICOLL, LEWIS & VLAK LLC | MLV & CO. LLC

CRD#: 150959 / SEC#: 8-68331
BD
Terminated by SEC on 08/24/2020

Contact Information

Established

Delaware since 06/04/2009

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
FBR CAPITAL MARKETS HOLDINGS, INC.DIRECT OWNER—
BONNEMA, STEPHEN JOSEPHCFO2229865
MARKUNAS, MICHAELCHIEF COMPLIANCE OFFICER1832307
MCNICOLL, PATRICECEO3199758

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Sep 1989About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Dec 2016About the SIE exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Aug 2001

Series 7 — General Securities Representative Examination

Passed Aug 1989About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Dec 1995About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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