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Samuel R. Weber

Some features on this profile are disabled
CRD#: 2299647
SW

Professional summary

Samuel Robert Weber was barred by the FINRA 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 1993. Prior to being barred, Samuel had worked at 2 firms, which includes BILTMORE SECURITIES INC., STRATTON OAKMONT INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 3, 1997 - May 21, 1997

BILTMORE SECURITIES, INC.

BD
CRD#: 25023
FT. LAUDERDALE, FL
Past

February 1, 1993 - December 20, 1996

STRATTON OAKMONT INC.

BD
CRD#: 18692
LAKE SUCCESS, NY

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
RR
Series 63
Date: 2/3/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/26/1993
General Securities Representative Examination

Current Firm

BS
BILTMORE SECURITIES, INC.
BILTMORE SECURITIES, INC | MIDAS INVESTMENT GROUP, INC. | BILTMORE SECURITIES, INC.

CRD#: 25023 / SEC#: , 8-41567

BD
Terminated by SEC on 01/16/1999
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 07/03/1989
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

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

BILTMORE SECURITIES, INC.

CRD#: 25023

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