Thomas K. Sampson
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.
Thomas Kenneth Sampson, who also goes by Tom Kenneth Sampson, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1991. Thomas had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 79 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 26, 2012 - December 16, 2020
BLACKSTONE SECURITIES PARTNERS L.P.
December 7, 2005 - January 17, 2012
CLEARBRIDGE INVESTMENTS, LLC
December 1, 2005 - January 17, 2012
FRANKLIN DISTRIBUTORS, LLC
December 10, 2004 - December 21, 2005
CITIGROUP GLOBAL MARKETS INC.
December 10, 1996 - December 1, 2005
CITIGROUP GLOBAL MARKETS INC.
May 19, 1995 - August 28, 1996
VOYA INVESTMENTS DISTRIBUTOR, LLC
April 8, 1994 - May 4, 1995
VOYAGEUR INVESTMENTS, INC.
July 10, 1991 - February 22, 1994
WELLS FARGO CLEARING SERVICES, 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
Current Firm
BLACKSTONE SECURITIES PARTNERS L.P.
CRD#: 17917 / SEC#: , 8-35941
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BLACKSTONE GROUP HOLDINGS L.P. | LIMITED PARTNER | |
| BALLAS, ZACHARY | DESIGNATED PRINCIPAL | 6563232 |
| BLACKSTONE ADVISORY SERVICES L.L.C. | GENERAL PARTNER | |
| DEROSE, ANTHONY | CHIEF COMPLIANCE OFFICER | 5553578 |
| PAYNE, DAVID BRYAN | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, FINOP | 4984877 |
| SCHWARZMAN, STEPHEN ALLEN | CHAIRMAN & CEO | 861435 |
Red Flags
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