Samuel A. Guidetti
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 Anthony Guidetti III, who also goes by Samuel A Guidetti III, was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 1989. Samuel had worked at 13 firms and has passed the Series 63, SIE, Series 55, Series 7 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
February 1, 2016 - December 14, 2016
MLV & CO. LLC
October 24, 2014 - December 14, 2016
B. RILEY SECURITIES, INC.
June 24, 2013 - October 8, 2014
AEGIS CAPITAL CORP.
July 14, 2009 - February 22, 2013
RBC CAPITAL MARKETS, LLC
September 29, 2006 - October 13, 2009
HILL THOMPSON MAGID & CO., INC.
July 22, 2005 - July 21, 2006
BTIG, LLC
May 30, 2003 - July 5, 2005
ANDREW GARRETT INC.
April 15, 2002 - April 26, 2005
BROKERAGEAMERICA, LLC
May 22, 2001 - April 15, 2002
BROKERAGEAMERICA, INC
April 7, 1998 - May 15, 2001
DEUTSCHE IXE, LLC
December 8, 1995 - March 18, 1998
CHARLES SCHWAB & CO., INC.
September 28, 1995 - March 27, 1998
UBS CAPITAL MARKETS L.P.
August 22, 1989 - December 7, 1995
HERZOG, HEINE, GEDULD, LLC
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
Series 55
Date: 8/10/2001
Limited Representative-Equity Trader ExamCurrent Firm
MLV & CO. LLC
CRD#: 150959 / SEC#: , 8-68331
Contact information
Documents
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.
