Samuel Jay Fleischman
Professional Summary
Samuel Jay Fleischman, who also goes by Samuel J Fleischman, Samuel Fleischman, Sam Fleischman, is a registered financial advisor currently at EMPIRE STATE FINANCIAL, INC. located in Long Beach, New York and BASEROCK CAPITAL, LLC located in Denver, Colorado. Samuel is registered as a RR (Registered Representative) and started their career in finance in 1989. Samuel has worked at 25 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 9, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Samuel J Fleischman, Samuel Fleischman, Sam Fleischman
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
37 years in the financial services industry
Current & Past Employments
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Current Firm
LINCOLN INTERNATIONAL L.L.C. | LINCOLN PARTNERS L.L.C | LINCOLN INTERNATIONAL LLC
Contact Information
Main Address
110 North Wacker Drive-51st Floor, Chicago, IL 60606Mailing Address
110 North Wacker Drive-51st Floor, Chicago, IL 60606Phone Number
(312) 580-8339Established
Illinois since 03/28/1996Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
LargeFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MONARCH FINCO, LLC | SOLE MEMBER | — |
| BARR, ROBERT BRUCE | MANAGING DIRECTOR | 720560 |
| BROWN, ROBERT TODD | CHIEF EXECUTIVE OFFICER | 3114282 |
| HAQUE, SARAH ANSARI | CHIEF COMPLIANCE OFFICER & DEPUTY GENERAL COUNSEL | 7419726 |
| LAWSON, LAWRENCE JAMES III | MANAGING DIRECTOR, CHAIRMAN | 1081222 |
| MALCHOW, ERIC DENNIS | PRESIDENT | 2499555 |
| NELSON, JULIE ANNE | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS | 7051181 |
Disclosures
Regulatory Event
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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
(7/14/2025)
(10/2/2026)
(10/17/2025)
(7/13/2023)
(10/17/2025)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Aug 1991SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Samuel Jay Fleischman's CRS (Customer Relationship Summary).
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