Samuel J. Fleischman

D. BORAL CAPITAL

New York, NY 10022

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CRD#: 1860709

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 21 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

Are you a "fiduciary"?

Aliases

Samuel J Fleischman | Samuel Fleischman | Sam Fleischman

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Samuel Jay Fleischman's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 3, 2020 - Present

D. BORAL CAPITAL

Office #1: 590 Madison Ave 39th Floor, New York, NY 10022

CRD#: 103792

New York, NY

Current

July 13, 2023 - Present

EMPIRE STATE FINANCIAL, INC.

Office #1: 20 W. Park Ave. Suite 207, Long Beach, NY 11561

CRD#: 5657

Long Beach, NY

Current

June 17, 2024 - Present

BASEROCK CAPITAL, LLC

Office #1: 1144 15th Street Suite 3290, Denver, CO 80202

CRD#: 328592

DENVER, CO

Current

February 3, 2025 - Present

AXOM PARTNERS LLC

CRD#: 328894

New York, NY

Current

July 14, 2025 - Present

ARC GROUP SECURITIES LLC

Office #1: 380 Bretano Way, Greenbrae, CA 94904

CRD#: 132026

Greenbrae, CA

Current

August 20, 2025 - Present

NH INVESTMENT & SECURITIES AMERICA, INC.

Office #1: 120 West 45th Street Suite 2402, New York, NY 10036

CRD#: 30660

New York, NY

Current

October 17, 2025 - Present

TRETE CAPITAL MARKETS, LLC

Office #1: 340 South Main Street, Coalville, UT 84017

CRD#: 311773

COALVILLE, UT

Past

June 5, 2023 - September 9, 2024

UPSIDE MARKETPLACE, LLC

CRD#: 319501

Brooklyn, NY

Past

May 16, 2023 - August 11, 2023

AREAM ADVISORS LLC

CRD#: 318177

SAN FRANCISCO, CA

Past

February 8, 2023 - August 1, 2024

ACRETRADER FINANCIAL, LLC

CRD#: 320820

Fayetteville, AR

Past

July 29, 2022 - June 7, 2024

PENNHAVEN BROKERAGE PARTNERS, LLC

CRD#: 309708

DOYLESTOWN, PA

Past

February 17, 2022 - January 4, 2024

KINGSWOOD CAPITAL PARTNERS, LLC

CRD#: 288898

SAN DIEGO, CA

Past

August 30, 2021 - November 30, 2021

WAYPOINT DIRECT INVESTMENTS, LLC

CRD#: 132475

STAMFORD, CT

Past

October 6, 2020 - April 30, 2021

WAYPOINT DIRECT INVESTMENTS, LLC

CRD#: 132475

STAMFORD, CT

Past

August 6, 2020 - December 2, 2022

CHERRY TRADING

CRD#: 306249

WEST HOLLYWOOD, CA

Past

July 21, 2020 - September 5, 2024

AVIDITI FINANCIAL, LLC

CRD#: 309026

DALLAS, TX

Past

August 9, 2017 - February 12, 2019

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

April 25, 2001 - September 1, 2016

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

July 28, 1998 - March 6, 2001

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

July 9, 1995 - July 24, 1998

CITICORP SECURITIES, INC.

CRD#: 7474

NEW YORK, NY

Past

July 17, 1991 - June 20, 1995

NATWEST SECURITIES CORPORATION

CRD#: 18238

NEW YORK, NY

Past

February 14, 1989 - March 3, 1990

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(7/14/2025)

Massachusetts
(10/17/2025)

New York
(7/13/2023)

South Dakota
(10/17/2025)

Exams

State Security Law Exam

Series 63

Date: 3/22/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/11/1989

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 24

Date: 7/20/1993

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 12/19/1991

Registered Options Principal Examination

Principal/Supervisory Exam

Series 14

Date: 10/25/1991

Compliance Officer Examination

Principal/Supervisory Exam

Series 8

Date: 8/2/1991

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

Current Firm

TRETE CAPITAL MARKETS, LLC

TRETE CAPITAL MARKETS, LLC | WAY MAKER REAL ESTATE PARTNERS, LLC

CRD#: 311773 / SEC#: , 8-70701

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

340 South Main Street, Coalville, UT 84017

Mailing Address

340 South Main Street, Coalville, UT 84017

Phone number

(469) 481-7681

Established

Texas since 10/13/2020

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
TRETE, INC.	DIRECT OWNER
GRIFFIN-CHURCHILL, CELESTE	CEO	4950169
HENDERSON, STUART ROBERT	FINOP	1121476
MATISOFF, KIMBERLY DORMAN	CHIEF COMPLIANCE OFFICER	5982741

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.

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Firm Stability Insights

Samuel J. Fleischman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Samuel Jay Fleischman's CRS (Customer Relationship Summary).

Certified licenses

Experience

EMPIRE STATE FINANCIAL, INC.

BASEROCK CAPITAL, LLC

AXOM PARTNERS LLC

ARC GROUP SECURITIES LLC

NH INVESTMENT & SECURITIES AMERICA, INC.

TRETE CAPITAL MARKETS, LLC

UPSIDE MARKETPLACE, LLC

AREAM ADVISORS LLC

ACRETRADER FINANCIAL, LLC

PENNHAVEN BROKERAGE PARTNERS, LLC

KINGSWOOD CAPITAL PARTNERS, LLC

WAYPOINT DIRECT INVESTMENTS, LLC

WAYPOINT DIRECT INVESTMENTS, LLC

CHERRY TRADING

AVIDITI FINANCIAL, LLC

CREDIT SUISSE SECURITIES (USA) LLC

UBS SECURITIES LLC

PERSHING LLC

CITICORP SECURITIES, INC.

NATWEST SECURITIES CORPORATION

DREXEL BURNHAM LAMBERT INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 3/22/1989

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 2/11/1989

Series 9

Date: 1/2/2023

Series 10

Date: 1/2/2023

Series 24

Date: 7/20/1993

Series 4

Date: 12/19/1991

Series 14

Date: 10/25/1991

Series 8

Date: 8/2/1991

FINRA

Current Firm

TRETE CAPITAL MARKETS, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

TRETE CAPITAL MARKETS, LLC

TRUST BUT VERIFY

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