Samuel A. Willis
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.
Samuel Andrew Willis, who also goes by Sam Willis, Samuel Andrew Willis Sam, Samuel Andrew Willis, Samuel Willis, was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 1994. Samuel had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 29, 2010 - April 29, 2015
GUGGENHEIM SECURITIES, LLC
October 11, 2004 - June 30, 2005
CIBC WORLD MARKETS CORP.
April 2, 2003 - October 8, 2004
KNIGHT CAPITAL AMERICAS, L.P.
August 14, 2001 - July 9, 2002
ROBERTSON STEPHENS, INC.
November 15, 1999 - August 20, 2001
LEHMAN BROTHERS INC.
July 1, 1998 - December 6, 1999
COWEN AND COMPANY
April 2, 1996 - July 1, 1998
FINANCIAL SQUARE PARTNERS
January 17, 1995 - February 23, 1996
R. L. RENCK & CO., INC.
February 24, 1994 - August 26, 1994
PRUDENTIAL EQUITY GROUP, 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
GUGGENHEIM SECURITIES, LLC
CRD#: 40638 / SEC#: , 8-49107
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LINKS HOLDINGS, LLC | MEMBER | |
| GUGGENHEIM MANAGER, INC. | MANAGING MEMBER | |
| LOWERY WHILLE, TRACY | CHIEF COMPLIANCE OFFICER | 2872693 |
| MILLSTEIN, JAMES E. | CO-CHARIMAN | 4270577 |
| SCHWARTZ, ALAN DAVID | CO-CHAIRMAN | 416184 |
| SCHWARTZ, ANDREW JON | CHIEF FINANCIAL OFFICER | 5121914 |
| TSOU, SUSAN | FINOP & PRINCIPAL FINANCIAL OFFICER | 6187001 |
| VAN LITH, MARK ALAN | CHEIF EXECUTIVE OFFICER | 2263510 |
| WINICK, HOWARD NEIL | PRINCIPAL OPERATIONS OFFICER | 1871689 |
Disclosures
| Regulatory Event | 10 |
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.
