Samuel F. Occhipinti
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 Frank Occhipinti was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 1999. Samuel had worked at 2 firms and has passed the Series 63, SIE, Series 7, Series 28 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
April 28, 2004 - October 1, 2008
FIRST DUNBAR SECURITIES CORPORATION
September 22, 1999 - January 24, 2018
VENTURE PARTNERS CAPITAL, L.L.C.
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
Series 28
Date: 8/20/2001
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
FIRST DUNBAR SECURITIES CORPORATION
CRD#: 17901 / SEC#: , 8-35940
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VPC HOLDINGS, LLC | INVESTOR | |
| BOWERS, RICHARD MICHAEL | PRESIDENT | 1263206 |
| OCCHIPINTI, SAMUEL FRANK | FINOP | |
| SPELLMAN, FRANCIS ROBERT | DIRECTOR |
Disclosures
| Regulatory Event | 1 |
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.
