Samuel J. Fleischman
Professional summary
Samuel Jay Fleischman, who also goes by Samuel J Fleischman, Samuel Fleischman, Sam Fleischman, is a registered financial professional currently at D. BORAL CAPITAL located in New York, New York and EMPIRE STATE FINANCIAL, INC. located in Long Beach, New York.
Samuel is registered as a RR (Registered Representative) and started their career in finance in 1989. Samuel has worked at 22 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 9, Series 10, Series 24, Series 4, Series 14 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Samuel Jay Fleischman's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 3, 2020 - Present
D. BORAL CAPITAL
Office #1: 590 Madison Ave 39th Floor, New York, NY 10022July 13, 2023 - Present
EMPIRE STATE FINANCIAL, INC.
Office #1: 20 W. Park Ave. Suite 207, Long Beach, NY 11561June 17, 2024 - Present
BASEROCK CAPITAL, LLC
Office #1: 1600 Wynkoop Street Suite 200, Denver, CO 80202February 3, 2025 - Present
AXOM PARTNERS LLC
July 14, 2025 - Present
ARC GROUP SECURITIES LLC
Office #1: 380 Bretano Way, Greenbrae, CA 94904August 20, 2025 - Present
NH INVESTMENT & SECURITIES AMERICA, INC.
Office #1: 120 West 45th Street Suite 2402, New York, NY 10036October 17, 2025 - Present
TRETE CAPITAL MARKETS, LLC
Office #1: 340 South Main Street, Coalville, UT 84017March 31, 2026 - Present
WITHUM CAPITAL, LLC
Office #1: 200 Jefferson Park Suite 400,, Whippany, NJ 07981June 5, 2023 - September 9, 2024
UPSIDE MARKETPLACE, LLC
May 16, 2023 - August 11, 2023
AREAM ADVISORS LLC
February 8, 2023 - August 1, 2024
ACRETRADER FINANCIAL, LLC
July 29, 2022 - June 7, 2024
PENNHAVEN BROKERAGE PARTNERS, LLC
February 17, 2022 - January 4, 2024
KINGSWOOD CAPITAL PARTNERS, LLC
August 30, 2021 - November 30, 2021
WAYPOINT DIRECT INVESTMENTS, LLC
October 6, 2020 - April 30, 2021
WAYPOINT DIRECT INVESTMENTS, LLC
August 6, 2020 - December 2, 2022
CHERRY TRADING
July 21, 2020 - September 5, 2024
AVIDITI FINANCIAL, LLC
August 9, 2017 - February 12, 2019
CREDIT SUISSE SECURITIES (USA) LLC
April 25, 2001 - September 1, 2016
UBS SECURITIES LLC
July 28, 1998 - March 6, 2001
PERSHING LLC
July 9, 1995 - July 24, 1998
CITICORP SECURITIES, INC.
July 17, 1991 - June 20, 1995
NATWEST SECURITIES CORPORATION
February 14, 1989 - March 3, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/14/2025)
(10/17/2025)
(7/13/2023)
(10/17/2025)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 8
Date: 8/2/1991
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
FINRA
Current Firm
WITHUM CAPITAL, LLC
CRD#: 323214 / SEC#: , 8-71044
Contact information
FINRA licenses (4 States and Territories)
Documents
Red Flags
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