Samantha J. Dubin
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 Jean Dubin was a registered financial professional .
Samantha is a previously registered financial professional and started their career in finance in 1996. Samantha had worked at 10 firms and has passed the Series 63, Series 65, SIE 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
October 11, 2012 - May 30, 2023
GRIFFIN SECURITIES, INC.
September 8, 2011 - June 7, 2012
AURIGA USA, LLC
June 24, 2009 - September 22, 2011
CAPSTONE INVESTMENTS
February 10, 2009 - March 24, 2009
STANFORD GROUP COMPANY
May 4, 2006 - September 22, 2006
WEDBUSH SECURITIES INC.
February 15, 2002 - January 3, 2006
FULCRUM GLOBAL PARTNERS LLC
February 1, 2000 - November 9, 2001
J.P. MORGAN SECURITIES INC.
June 23, 1999 - February 1, 2000
HAMBRECHT & QUIST LLC
October 7, 1998 - May 21, 1999
HAMBRECHT & QUIST LLC
June 25, 1998 - August 28, 1998
LEERINK PARTNERS LLC
August 14, 1996 - May 20, 1998
GRUNTAL & CO., L.L.C.
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
GRIFFIN SECURITIES, INC.
CRD#: 43229 / SEC#: , 8-50186
Contact information
FINRA licenses (3 States and Territories)
Documents
Disclosures
| Regulatory 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.
