Scott L. Samowitz
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.
Scott L Samowitz was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1990. Scott had worked at 6 firms and has passed the Series 65, Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 24, 2012 - July 17, 2012
FIS BROKERAGE & SECURITIES SERVICES LLC
May 13, 2009 - October 22, 2009
SIGNATOR INVESTORS, INC.
January 13, 2009 - April 14, 2009
EQUITABLE ADVISORS, LLC
June 25, 2008 - April 14, 2009
EQUITABLE ADVISORS, LLC
October 25, 2001 - July 31, 2007
PRUDENTIAL EQUITY GROUP, LLC
October 10, 2000 - October 15, 2001
CREDIT SUISSE SECURITIES (USA) LLC
June 21, 1990 - October 10, 2000
PERSHING 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 55
Date: 2/2/2000
Limited Representative-Equity Trader ExamCurrent Firm
FIS BROKERAGE & SECURITIES SERVICES LLC
CRD#: 104162 / SEC#: , 8-52614
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIS CAPITAL MARKETS US LLC | SOLE MEMBER | |
| DAMIS, JENEL CARIMA | CHIEF COMPLIANCE OFFICER | 3261583 |
| HECKER, STEVEN MICHAEL | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3088510 |
| PETERS, DAVID TODD | BOARD MEMBER, ASSISTANT SECRETARY | 7798286 |
| VOGEL, MICHAEL FRANCIS | CHIEF EXECUTIVE OFFICER AND PRESIDENT, BOARD MEMBER, SECRETARY | 2814935 |
Disclosures
| Regulatory Event | 23 |
Red Flags
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