Samuel P. Schwing
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 P Schwing IV, who also goes by Samuel P Schwing, Samuel Poynter Schwing IV, Samuel Poynter Schwing, Tip Schwing, Schwing, was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 1993. Samuel had worked at 4 firms and has passed the Series 63 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
May 23, 2011 - December 31, 2021
WALTER C. FLOWER & CO., INC
August 7, 1998 - October 19, 1999
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
April 7, 1994 - June 27, 1996
MARQUIS INVESTMENTS, L.L.C.
May 7, 1993 - February 23, 1994
HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.
Primary Firm SEC Registration
WALTER C. FLOWER & CO., INC
CRD#: 110775 / SEC#: 801-14116
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
WALTER C. FLOWER & CO., INC
CRD#: 110775 / SEC#: 801-14116
Contact information
Regulatory assets under management
| Total Number of Accounts | 38 |
| AUM (Assets Under Management) | $ 470,937,563 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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