Samantha E. Kefford
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.
Samantha Evelynn Kefford, who also goes by Sam Kefford, Samantha Evelynn Kefford, was a registered financial professional .
Samantha is a previously registered financial professional and started their career in finance in 1993. Samantha had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 2014 - February 2, 2015
INTESA SANPAOLO IMI SECURITIES CORP.
July 7, 2005 - November 17, 2011
PERSHING LLC
June 29, 2005 - March 31, 2006
PERSHING LLC
October 20, 2004 - June 3, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - June 3, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 12, 2002 - October 20, 2004
QUICK & REILLY, INC.
July 19, 2002 - September 17, 2002
ROBERTSON STEPHENS, INC.
November 29, 1993 - October 20, 2004
QUICK & REILLY, INC.
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 8
Date: 2/18/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
INTESA SANPAOLO IMI SECURITIES CORP.
CRD#: 19418 / SEC#: , 8-37444
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IMI CAPITAL MARKETS USA CORPORATION | SOLE SHAREHOLDER | |
| AMOROSO, PAOLO GLAUCO | CORPORATE SECRETARY | 7870609 |
| BURIOLI, NOVELLA | DIRECTOR | 7874990 |
| DIBELLA, VINCENT | CHIEF FINANCIAL OFFICER/ TREASURER | 2587408 |
| LUCCHINI, STEFANO | DIRECTOR | 7889772 |
| MARRAS, STEFANO | CEO/DIRECTOR | 7322813 |
| PARISI, RICHARD ANTHONY | CHIEF OPERATIONS OFFICER | 4668388 |
| RUIZ, JEFFREY A | CHIEF COMPLIANCE OFFICER | 2562825 |
| SEGNI, LAURA | DIRECTOR | 7890924 |
Disclosures
| Regulatory Event | 11 |
| Criminal | 1 |
| Civil 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.
