Samuel S. Olguin

DFA SECURITIES LLC

Austin, TX 78746

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CRD#: 1878546

Professional summary

Samuel Scott Olguin is a registered financial professional currently at DFA SECURITIES LLC located in Austin, Texas.

Samuel is registered as a RR (Registered Representative) and started their career in finance in 1989. Samuel has worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 Scott Olguin's 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

November 8, 2023 - Present

DFA SECURITIES LLC

Office #1: Palisades West, Building One 6300 Bee Cave Road, Austin, TX 78746

CRD#: 10292

Austin, TX

Past

November 11, 2013 - October 27, 2023

BOUSTEAD SECURITIES, LLC

CRD#: 141391

IRVINE, CA

Past

June 2, 2009 - May 16, 2013

BREAKWATER INVESTMENT GROUP, LLC

RIA

CRD#: 128747

NEWPORT BEACH, CA

Past

November 6, 2008 - April 20, 2012

CHOICE INVESTMENTS, INC.

CRD#: 17665

AUSTIN, TX

Past

February 15, 2007 - August 19, 2008

MIRAMAR SECURITIES, LLC

CRD#: 37955

ALPHARETTA, GA

Past

April 18, 2005 - January 25, 2006

FIFTH STREET CAPITAL, LLC

CRD#: 103701

AUSTIN, TX

Past

May 28, 2004 - December 31, 2004

COLINAS CAPITAL MANAGEMENT, L.L.C.

RIA

CRD#: 131717

AUSTIN, TX

Past

March 23, 2001 - July 7, 2004

FIFTH STREET CAPITAL, LLC

CRD#: 103701

AUSTIN, TX

Past

July 12, 2000 - December 31, 2000

OXFORD FINANCIAL GROUP

CRD#: 40700

HOUSTON, TX

Past

January 7, 1998 - July 11, 2000

CHOICE INVESTMENTS, INC.

CRD#: 17665

AUSTIN, TX

Past

March 10, 1997 - January 8, 1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

February 21, 1996 - December 31, 1996

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SAN DIEGO, CA

Past

November 27, 1991 - March 15, 1994

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

November 21, 1989 - April 1, 1991

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

September 19, 1989 - November 21, 1989

CHOICE INVESTMENTS, INC.

CRD#: 17665

AUSTIN, TX

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

Alabama
(9/5/2024)

Arizona
(9/5/2024)

Arkansas
(9/5/2024)

California
(9/5/2024)

Colorado
(9/5/2024)

Connecticut
(9/5/2024)

Delaware
(9/5/2024)

District of Columbia
(9/5/2024)

Florida
(9/5/2024)

Georgia
(9/5/2024)

Idaho
(9/5/2024)

Illinois
(9/5/2024)

Indiana
(9/5/2024)

Iowa
(9/5/2024)

Kansas
(9/5/2024)

Kentucky
(9/5/2024)

Louisiana
(9/5/2024)

Maine
(9/5/2024)

Maryland
(9/5/2024)

Massachusetts
(9/5/2024)

Michigan
(9/5/2024)

Minnesota
(9/5/2024)

Mississippi
(9/5/2024)

Missouri
(9/5/2024)

Montana
(9/5/2024)

Nebraska
(9/5/2024)

Nevada
(9/5/2024)

New Hampshire
(9/5/2024)

New Jersey
(9/5/2024)

New Mexico
(9/5/2024)

New York
(9/5/2024)

North Carolina
(9/5/2024)

North Dakota
(9/5/2024)

Ohio
(9/5/2024)

Oklahoma
(9/5/2024)

Oregon
(9/5/2024)

Pennsylvania
(9/5/2024)

Rhode Island
(9/5/2024)

South Carolina
(9/5/2024)

South Dakota
(9/5/2024)

Texas
(11/8/2023)

Utah
(9/5/2024)

Vermont
(9/5/2024)

Virgin Islands
(9/5/2024)

Virginia
(9/5/2024)

Washington
(9/5/2024)

West Virginia
(9/5/2024)

Wisconsin
(9/5/2024)

Wyoming
(9/5/2024)

Exams

State Security Law Exam

Series 63

Date: 9/26/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/16/1989

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/8/2002

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

DFA SECURITIES LLC

DFA SECURITIES INC. | DFA SECURITIES LLC

CRD#: 10292 / SEC#: , 8-27006

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

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Contact information

Main Address

6300 Bee Cave Road Building One, Austin, TX 78746

Mailing Address

6300 Bee Cave Road Building One, Austin, TX 78746

Phone number

(512) 306-7400

Established

Delaware since 04/06/2009

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
DIMENSIONAL FUND ADVISORS LP	DELAWARE LP AND SOLE MEMBER OF DFAS
BOOTH, DAVID GILBERT	CHAIRMAN	1031000
BUTLER, DAVID PAUL	CO-CHIEF EXECUTIVE OFFICER	2305298
DALLMER, LISA MICHELE	CHIEF OPERATING OFFICER	2586913
GRZELAK, BERNARD JAMES	CHIEF FINANCIAL OFFICER, FINANCIAL OPERATIONS PRINCIPAL, AND PRINCIPAL OPERATING OFFICER	4285750
NEWELL, CATHERINE LEE	VICE PRESIDENT AND SECRETARY	2890628
NOTELOVITZ, SELWYN JUSTIN	GLOBAL CHIEF COMPLIANCE OFFICER	2886676
O'REILLY, GERARD KIERAN	CO-CHIEF EXECUTIVE OFFICER AND CO-CIO	4982644

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Samuel S. Olguin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Samuel Scott Olguin's CRS (Customer Relationship Summary).

Certified licenses

Experience

BOUSTEAD SECURITIES, LLC

BREAKWATER INVESTMENT GROUP, LLC

CHOICE INVESTMENTS, INC.

MIRAMAR SECURITIES, LLC

FIFTH STREET CAPITAL, LLC

COLINAS CAPITAL MANAGEMENT, L.L.C.

FIFTH STREET CAPITAL, LLC

OXFORD FINANCIAL GROUP

CHOICE INVESTMENTS, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

FIRST ALLIED SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY DW INC.

CHOICE INVESTMENTS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/26/1989

SIE

Date: 10/1/2018

Series 7

Date: 9/16/1989

Series 24

Date: 8/8/2002

FINRA

Current Firm

DFA SECURITIES LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

DFA SECURITIES LLC

TRUST BUT VERIFY

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