Samuel Horlick
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 Horlick was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 1966. Samuel had worked at 8 firms and has passed the Series 63, Series 1 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
January 26, 1984 - September 14, 1984
TRIPP & CO., INC.
June 14, 1983 - January 27, 1984
MARSAN SECURITIES CO., INC.
September 14, 1982 - August 26, 1983
PATTEN SECURITIES CORP.
March 3, 1982 - May 14, 1982
ROONEY, PACE INC.
February 25, 1981 - December 2, 1981
OTC NET INCORPORATED
May 12, 1980 - February 23, 1981
BRUNS, NORDEMAN, REA & CO.
June 19, 1978 - January 22, 1986
EVANS & CO., INC.
February 8, 1966 - May 3, 1978
ADVEST, 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 1
Date: 12/29/1959
Registered Representative ExaminationCurrent Firm
TRIPP & CO., INC.
CRD#: 6967 / SEC#: , 8-19818
Contact information
Documents
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
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.
