Sam R. Somuri
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.
Sam Rao Somuri, CFP®, CIMA®, who also goes by Sam Somuri, Seenu Rao Somuri, was a registered financial professional .
Sam is a previously registered financial professional and started their career in finance in 1988. Sam had worked at 10 firms and has passed the Series 65, Series 63, Series 31, Series 7, Series 6, Series 4, Series 8 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
June 7, 2007 - October 9, 2012
ALLIANZ LIFE FINANCIAL SERVICES, LLC
January 30, 2002 - April 25, 2007
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
June 15, 2001 - June 27, 2001
MORGAN STANLEY DW INC.
October 9, 2000 - April 23, 2001
GOLDMAN SACHS & CO. LLC
November 5, 1991 - September 25, 2000
CHARLES SCHWAB & CO., INC.
August 1, 1991 - November 6, 1991
IFMG SECURITIES, INC.
May 9, 1990 - August 1, 1991
PAMCO SECURITIES AND INSURANCE SERVICES
April 20, 1989 - February 12, 1990
THE BENHAM GROUP
December 7, 1988 - April 27, 1989
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
December 7, 1988 - April 27, 1989
PRUCO SECURITIES, 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 8
Date: 4/10/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ALLIANZ LIFE FINANCIAL SERVICES, LLC
CRD#: 612 / SEC#: , 8-13630
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANZ LIFE INSURANCE COMPANY OF NORTH AMERICA | OWNER | |
| DIAN, MATTHEW CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2246088 |
| GAUMOND, WILLIAM EDWARD | DIRECTOR | 5294073 |
| HELMEN, JOHN CURTIS | ASSISTANT VICE PRESIDENT, DISTRIBUTION NATIONAL ACCOUNTS | 4988276 |
| LORD-KRAHN, KRISTINE MARIE | CHIEF LEGAL OFFICER | 4241291 |
| THOMES, ERIC JON | CHIEF EXECUTIVE OFFICER | 4645308 |
| WALTHER, COREY JAY | PRESIDENT | 2398952 |
| WYSOCKI, REBECCA | PRINCIPAL FINANCIAL OFFICER | 6558204 |
| WYSOCKI, REBECCA | CHIEF FINANCIAL OFFICER | 6558204 |
| WYSOCKI, REBECCA | PRINCIPAL OPERATIONS OFFICER | 6558204 |
Disclosures
| Regulatory Event | 1 |
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.
