Sam S. Prasad
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.
Sam Shanmuga Prasad, who also goes by Sam S Prasad, was a registered financial professional .
Sam is a previously registered financial professional and started their career in finance in 1994. Sam had worked at 7 firms and has passed the Series 65, Series 63, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 9, 2005 - December 31, 2012
SAFE MONEY ADVISORS INC
October 19, 2004 - December 31, 2007
FORTUNE FINANCIAL SERVICES, INC.
January 23, 2004 - October 1, 2004
EQUITY SERVICES, INC.
June 19, 2003 - October 1, 2004
EQUITY SERVICES, INC.
January 23, 2003 - March 14, 2003
EASTERN POINT ADVISORS INC.
August 6, 2002 - December 31, 2002
EASTERN POINT ADVISORS INC.
June 11, 1999 - December 31, 2002
INVESTORS CAPITAL CORP.
March 25, 1997 - April 8, 1999
OSAIC WEALTH, INC.
November 3, 1994 - December 31, 1996
SUMMIT EQUITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SAFE MONEY ADVISORS INC
CRD#: 133396 / SEC#:
Contact information
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
