Samuel Gurmann

VANDERBILT SECURITIES

Jericho, NY 11753

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CRD#: 2555562

Professional summary

Samuel Gurmann is a registered financial professional currently at VANDERBILT SECURITIES, LLC located in Jericho, New York.

Samuel is registered as a RR (Registered Representative) and started their career in finance in 1994. Samuel has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view Samuel Gurmann's CRS (Customer Relationship Summary).

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

February 25, 2025 - Present

VANDERBILT SECURITIES, LLC

Office #1: 500 N. Broadway, Suite 219, Jericho, NY 11753

CRD#: 5953

Jericho, NY

Past

October 11, 2024 - February 27, 2025

OSAIC WEALTH, INC.

CRD#: 23131

Jericho, NY

Past

November 9, 2020 - October 11, 2024

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CRD#: 18487

Jericho, NY

Past

August 2, 2010 - November 10, 2020

LINCOLN INVESTMENT

CRD#: 519

JERICHO, NY

Past

February 15, 2005 - August 2, 2010

MM ASCEND LIFE INVESTOR SERVICES, LLC

CRD#: 36451

JERICHO, NY

Past

February 6, 1996 - February 15, 2005

PMG SECURITIES CORPORATION

CRD#: 27107

ELGIN, IL

Past

April 11, 1995 - September 12, 1995

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

April 11, 1995 - September 12, 1995

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Past

November 23, 1994 - April 4, 1995

HIMCO DISTRIBUTION SERVICES COMPANY

CRD#: 6604

HARTFORD, CT

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Connecticut
(2/25/2025)

Florida
(2/25/2025)

New Jersey
(2/25/2025)

New York
(2/25/2025)

North Carolina
(2/27/2025)

Pennsylvania
(2/25/2025)

South Carolina
(2/25/2025)

Texas
(6/17/2025)

Washington
(4/2/2025)

Exams

State Security Law Exam

IAR

Series 65

Date: 12/20/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/14/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 11/2/1994

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

VANDERBILT SECURITIES, LLC

RICHARDT-ALYN & CO. | VANDERBILT SECURITIES, LLC | VANDERBILT SECURITIES

CRD#: 5953 / SEC#: , 8-16712

Broker-Dealer Firm Regulated by FINRA (Long Island district office)

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Contact information

Main Address

125 Froehlich Farm Blvd., Woodbury, NY 11797

Mailing Address

125 Froehlich Farm Blvd., Woodbury, NY 11797

Phone number

(631) 845-5100

Established

New York since 12/05/2001

Firm type

Limited Liability Company

Fiscal year end

September

Firm Size

Medium

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
VANDERBILT CAPITAL, LLC	SOLE OWNER
ANTENOR, JR, DANIEL	CHIEF OPERATIONS OFFICER/OPTIONS/MUNI	5839052
DISTANTE, STEPHEN ALFRED	CEO - LIMITED PARTNER	2206574
PLAPP, MEGAN LYNN	FINOP, POO, PFO, CFO	6790596
THOMAS, MICHELLE DENISE	CHIEF COMPLIANCE OFFICER	2210435
TRIFILETTI, JOSEPH JOHN	PRESIDENT	5295897

Disclosures

Regulatory Event	5
Arbitration	1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Advisor Monitoring

Firm Stability Insights

Samuel Gurmann

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Samuel Gurmann's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

LINCOLN INVESTMENT

MM ASCEND LIFE INVESTOR SERVICES, LLC

PMG SECURITIES CORPORATION

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

HIMCO DISTRIBUTION SERVICES COMPANY

State Registrations and Notice Filings

Exams

Series 65

Date: 12/20/1999

Series 63

Date: 11/14/1994

SIE

Date: 10/1/2018

Series 6

Date: 11/2/1994

FINRA

Current Firm

VANDERBILT SECURITIES, LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

VANDERBILT SECURITIES, LLC

TRUST BUT VERIFY

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