Samuel R. Masucci

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CRD#: 2011215

Professional summary

Samuel Ralph Masucci 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 12 firms, which includes ETFMG FINANCIAL LLC, ALPS DISTRIBUTORS INC., ESPOSITO SECURITIES LLC, QUASAR DISTRIBUTORS LLC, MACRO FINANCIAL LLC, J.P. MORGAN SECURITIES LLC, UBS SECURITIES LLC, SBC WARBURG DILLON READ INC., SBC WARBURG INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, METROPOLITAN LIFE INSURANCE COMPANY, MSI FINANCIAL SERVICES INC..

Question & Answer

Are you a "fiduciary"?

Aliases

Sam Masucci Iii | Samuel Ralph Masucci

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

February 27, 2017 - August 1, 2023

ETFMG FINANCIAL LLC

CRD#: 284172

Summit, NJ

Past

February 1, 2016 - March 3, 2017

ALPS DISTRIBUTORS, INC.

CRD#: 16853

Summit, NJ

Past

May 2, 2014 - October 27, 2015

ESPOSITO SECURITIES, LLC

CRD#: 143710

DALLAS, TX

Past

February 21, 2014 - May 1, 2014

QUASAR DISTRIBUTORS, LLC

CRD#: 103848

PORTLAND, ME

Past

March 13, 2013 - December 31, 2013

ESPOSITO SECURITIES, LLC

CRD#: 143710

DALLAS, TX

Past

June 29, 2004 - December 6, 2011

MACRO FINANCIAL, LLC

CRD#: 130145

MORRISTOWN, NJ

Past

March 26, 1999 - June 7, 2001

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

June 29, 1998 - December 11, 1998

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

September 2, 1997 - June 29, 1998

SBC WARBURG DILLON READ INC.

CRD#: 1650

STAMFORD, CT

Past

April 11, 1997 - September 2, 1997

SBC WARBURG, INC.

CRD#: 23745

NEW YORK, NY

Past

January 17, 1992 - July 16, 1996

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

March 21, 1990 - January 24, 1992

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

March 21, 1990 - January 24, 1992

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

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

Series 63

Date: 5/7/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/16/1992

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/19/1990

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/16/2004

General Securities Principal Examination

Current Firm

ETFMG FINANCIAL LLC

CRD#: 284172 / SEC#: , 8-69792

Terminated by SEC on 10/14/2023

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Contact information

Main Address

Mailing Address

Phone number

Established

Delaware since 06/12/2015

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
EXCHANGE TRADED MANAGERS GROUP LLC	MANAGING MEMBER
BEATON, DANIEL STEWART	FINOP/CFO	4240769
KESSEL, JOSEPH KEITH	CCO	3084333

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.

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Advisor Monitoring

Firm Stability Insights

Samuel R. Masucci

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ALPS DISTRIBUTORS, INC.

ESPOSITO SECURITIES, LLC

QUASAR DISTRIBUTORS, LLC

ESPOSITO SECURITIES, LLC

MACRO FINANCIAL, LLC

J.P. MORGAN SECURITIES LLC

UBS SECURITIES LLC

SBC WARBURG DILLON READ INC.

SBC WARBURG, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/7/1990

SIE

Date: 10/1/2018

Series 7

Date: 1/16/1992

Series 6

Date: 3/19/1990

Series 24

Date: 6/16/2004

Current Firm

ETFMG FINANCIAL LLC

Contact information

Documents

Direct owners and executive officers

Red Flags

Company Information

ETFMG FINANCIAL LLC

TRUST BUT VERIFY

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