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SD

Samuel B. Drost

Some features on this profile are disabled
CRD#: 2517755
SD

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 Blaine Drost was a registered financial professional .

Samuel is a previously registered financial professional and started their career in finance in 1994. Samuel had worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 21, 2015 - November 12, 2015

CEROS FINANCIAL SERVICES, INC.

BD
CRD#: 37869
ROCKVILLE, MD
Past

February 12, 2014 - April 8, 2014

QUASAR DISTRIBUTORS, LLC

BD
CRD#: 103848
PORTLAND, ME
Past

January 10, 2014 - April 8, 2014

NORTHCOAST ASSET MANAGEMENT LLC

RIA
CRD#: 109582
GREENWICH, CT
Past

June 18, 2013 - September 24, 2013

BIC DISTRIBUTORS, LLC

BD
CRD#: 152860
PHOENIX, AZ
Past

February 25, 2013 - April 9, 2013

ALLIANCE AFFILIATED EQUITIES CORPORATION

BD
CRD#: 23928
OVERLAND PARK, KS
Past

May 29, 2003 - February 3, 2012

MANNING & NAPIER ADVISORS, LLC

RIA
CRD#: 105992
PLANO, TX
Past

July 3, 2002 - February 3, 2012

MANNING & NAPIER ADVISORY ADVANTAGE COMPANY, LLC

RIA
CRD#: 106652
PLANO, TX
Past

July 3, 2002 - February 3, 2012

MANNING & NAPIER INVESTOR SERVICES, INC.

BD
CRD#: 26266
FAIRPORT, NY
Past

September 6, 2000 - June 17, 2002

BNY MELLON SECURITIES CORPORATION

BD
CRD#: 231
NEW YORK, NY
Past

March 14, 1995 - September 5, 2000

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

August 1, 1994 - March 20, 1995

STANTON INVESTMENT SERVICES, INC.

BD
CRD#: 29462
PLYMOUTH, MN

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 4/11/1995
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/5/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/12/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/29/1994
General Securities Representative Examination

Current Firm

CF
CEROS FINANCIAL SERVICES, INC.
ASSET MANAGEMENT SERVICES | FORTE CAPITAL GROUP | CEROS FINANCIAL SERVICES, INC. | CEROS FINANCIAL ADVISORS | CEROS CAPITAL MARKETS | CEROS BROKER SERVICE, INC. | ATLANTIC PARTNERS

CRD#: 37869 / SEC#: , 8-47955

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
1445 Research Boulevard Suite 530, Rockville, MD 20850
Mailing Address
1445 Research Boulevard Suite 530, Rockville, MD 20850
Phone number
(866) 842-3356
Established
Massachusetts since 09/30/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DGB HOLDINGS, LLCOWNER
AYERS-RIGSBY, MARY CATHERINEPRESIDENT830349
GOLDWASSER, MARK HARRYCEO1334008
GREENE, JON CHRISTOPHERROSFP3202524
HOLLAND, ANGELA LYNNETTECHIEF COMPLIANCE OFFICER3166586
POWELL, KIM ULMANCHIEF FINANCIAL OFFICER6244231
WILSON, DANIELAMLCO6763074

Disclosures

Regulatory Event4

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.

Company Information

CEROS FINANCIAL SERVICES, INC.

CRD#: 37869

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