Sam Shehu

SHEHU ASSET MANAGEMENT

Southbury, CT 06488

Some features on this profile are disabled

CRD#: 2486647

Professional summary

Sam Shehu, who also goes by Sam Shehu, Samir Shehu, is a registered financial advisor currently at SHEHU ASSET MANAGEMENT, LLC located in Southbury, Connecticut.

Sam is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Sam has worked at 7 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 7 and Series 31 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sam Shehu | Samir Shehu

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.

S S LaundryLLC; non investment-related; 310 SMain St; Thomaston, CT 06787; Self serve laundry; Manager; Sole Member; 2021; 5 hours; none; manager.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sam Shehu's CRS (Customer Relationship Summary).

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

Current

December 14, 2020 - Present

SHEHU ASSET MANAGEMENT, LLC

Office #1: 88 Railstone Drive, Southbury, CT 06488

RIA

CRD#: 311138

Southbury, CT

Past

February 15, 2019 - September 25, 2020

LPL FINANCIAL LLC

RIA

CRD#: 6413

GLASTONBURY, CT

Past

February 15, 2019 - September 25, 2020

LPL FINANCIAL LLC

CRD#: 6413

GLASTONBURY, CT

Past

November 12, 2014 - February 20, 2019

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

GLASTONBURY, CT

Past

November 10, 2014 - February 20, 2019

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

GLASTONBURY, CT

Past

June 19, 2009 - August 15, 2014

SHEHU ASSET MANAGEMENT, LLC

RIA

CRD#: 150233

SOUTHBURY, CT

Past

January 5, 2001 - September 27, 2002

PRUDENTIAL EQUITY GROUP, LLC

RIA

CRD#: 7471

HARTFORD, CT

Past

November 22, 2000 - September 27, 2002

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

October 25, 1995 - December 5, 2000

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

May 11, 1994 - November 8, 1995

FIRST ASSET MANAGEMENT, INC.

CRD#: 17341

GARDEN CITY, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Connecticut
(12/14/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 11/23/2014

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 5/16/2009

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/19/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/10/2014

General Securities Representative Examination

General Industry/Product Exam

Series 31

Date: 6/3/1996

Futures Managed Funds Examination

Current Firm

SHEHU ASSET MANAGEMENT, LLC

CRD#: 311138 / SEC#:

Connecticut

Registered Investment Advisory firm - (12/14/2020 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

88 Railstone Drive, Southbury, CT 06488

Mailing Address

Phone number

(860) 778-8309

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	15
AUM (Assets Under Management)	$ 2,400,000

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.

Similar Advisors

Michael Chadwick

FISCAL WISDOM WEALTH MANAGEMENT LLC

IAR

Canton, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Sam Shehu

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sam Shehu's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

SHEHU ASSET MANAGEMENT, LLC

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL EQUITY GROUP, LLC

MORGAN STANLEY DW INC.

FIRST ASSET MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/23/2014

Series 65

Date: 5/16/2009

Series 7TO

Date: 8/19/2023

SIE

Date: 10/1/2018

Series 7

Date: 11/10/2014

Series 31

Date: 6/3/1996

Current Firm

SHEHU ASSET MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SHEHU ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors