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JG

Jeffrey B. Gass

SAMI BROKERAGE LLC
Stamford, CT 06905
Some features on this profile are disabled
CRD#: 1962578
JG

Professional summary

Jeffrey Bryant Gass, who also goes by Jeff B Gass, Jeff Gass, is a registered financial professional currently at SAMI BROKERAGE LLC located in Stamford, Connecticut.

Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 1992. Jeffrey has worked at 5 firms and has passed the Series 63, Series 57TO, Series 79TO, Series 99TO, SIE, Series 55, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jeff B Gass | Jeff Gass

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 Jeffrey Bryant Gass's CRS (Customer Relationship Summary).
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

April 5, 2024 - Present

SAMI BROKERAGE LLC

Office #1: 2 High Ridge Park, Stamford, CT 06905
BD
CRD#: 18217
Stamford, CT
Past

July 1, 2003 - October 24, 2023

WELLS FARGO SECURITIES, LLC

BD
CRD#: 126292
CHARLOTTE, NC
Past

January 30, 1998 - July 1, 2003

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

October 10, 1995 - February 9, 1998

PRINCIPAL FINANCIAL SECURITIES,INC.

BD
CRD#: 260
DALLAS, TX
Past

March 31, 1992 - October 24, 1995

PIPER SANDLER & CO.

BD
CRD#: 665
MINNEAPOLIS, MN

State Registrations and Notice Filings

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

RR
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

RR
Connecticut
(4/5/2024)
RR
Delaware
(5/2/2024)
RR
Florida
(5/2/2024)
RR
Georgia
(5/2/2024)
RR
Illinois
(5/2/2024)
RR
Iowa
(5/2/2024)
RR
Minnesota
(5/2/2024)
RR
Mississippi
(5/2/2024)
RR
New York
(5/2/2024)
RR
Pennsylvania
(5/2/2024)
RR
Wisconsin
(5/2/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 4/16/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 3/13/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 3/24/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/28/1998
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SB
SAMI BROKERAGE LLC
MCCARROLL & CO., INC. | SPECTRUM ASSET MANAGEMENT, INC. | SAMI BROKERAGE LLC | PRINCIPAL GLOBAL INVESTORS

CRD#: 18217 / SEC#: 801-undefined, 8-36472

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
2 High Ridge Park 2nd Floor, Stamford, CT 06905
Mailing Address
2 High Ridge Park 2nd Floor, Stamford, CT 06905
Phone number
(203) 322-0189
Established
Delaware since 11/09/2018
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (17 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

NamePositionCRD#
SPECTRUM ASSET MANAGEMENT, INC.100% OWNER
BYER, MATTHEW ROSSCHIEF INFORMATION SECURITY OFFICER3120607
HANCZOR, JOSEPH ANDREWCHIEF COMPLIANCE OFFICER5200684
JACOBY, LEWIS PHILLIP IVHEAD OF TRADING1238147
LIEB, MARK ALANPRESIDENT853490
ORLANDO, JEAN MARIEFINANCIAL OPERATIONS PRINCIPAL & CHIEF FINANCIAL OFFICER1197909

Disclosures

Regulatory Event1

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

SAMI BROKERAGE LLC

CRD#: 18217Stamford, CT 06905

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