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Samuel Israel

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CRD#: 1926977
SI

Professional summary

Samuel Israel III was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Samuel is a previously registered financial professional and started their career in finance in 1990. Prior to being barred, Samuel had worked at 3 firms, which includes BAYOU SECURITIES LLC, GRUNTAL & CO. L.L.C., BMO CAPITAL MARKETS CORP..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 22, 1996 - November 29, 2005

BAYOU SECURITIES, LLC

BD
CRD#: 39323
STAMFORD, CT
Past

August 3, 1990 - May 24, 1991

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY
Past

January 2, 1990 - June 6, 1990

BMO CAPITAL MARKETS CORP.

BD
CRD#: 16686
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/23/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 3/27/1996
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 7/16/1983
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 10/8/1996
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/19/1996
General Securities Principal Examination

Current Firm

BS
BAYOU SECURITIES, LLC
BAYOU SECURITIES, LLC | BAYOU SECURITIES, LTD.

CRD#: 39323 / SEC#: , 8-48639

BD
Cancelled by SEC on 02/25/2008
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 05/09/1997
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ISRAEL, SAMUEL IIIMANAGING MEMBER, GENERAL SECURITIES PRINCIPAL, OPTIONS PRINCIPAL, CHIEF COMPLAINCE OFFICER1926977
LEE, WOORAMGENERAL SECURITIES PRINCIPAL2830353

Disclosures

Regulatory Event11

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.

Company Information

BAYOU SECURITIES, LLC

CRD#: 39323

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