Samuel M. Brint
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.
Samuel Mayer Brint, who also goes by Samuel M Brint, was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 1990. Samuel had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2016 - August 2, 2021
AVANTAX ADVISORY SERVICES
November 30, 2016 - August 2, 2021
AVANTAX INVESTMENT SERVICES, INC.
July 18, 2014 - December 2, 2016
VOYA FINANCIAL ADVISORS, INC.
February 25, 2011 - July 15, 2014
CETERA WEALTH SERVICES, LLC
February 24, 2011 - July 15, 2014
CETERA WEALTH SERVICES, LLC
July 2, 2002 - July 28, 2010
EQUITABLE ADVISORS, LLC
December 10, 1999 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
December 10, 1999 - July 28, 2010
EQUITABLE ADVISORS, LLC
December 21, 1998 - November 30, 1999
THE O.N. EQUITY SALES COMPANY
October 1, 1997 - December 31, 1997
AMERICAN GENERAL SECURITIES INCORPORATED
February 15, 1994 - October 1, 1997
USLIFE EQUITY SALES CORP.
November 10, 1992 - August 31, 1993
CETERA ADVISORS LLC
July 23, 1990 - October 26, 1992
MARKTECH SECURITIES INC.
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
Current Firm
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 |
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.
