Samantha Rick
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 Rick was a registered financial professional .
Samantha is a previously registered financial professional and started their career in finance in 1997. Samantha had worked at 7 firms and has passed the Series 63, Series 66, SIE, Series 32, Series 3, Series 7, Series 24, Series 14, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 29, 2018 - June 9, 2022
COMPASS DISTRIBUTORS, LLC
August 30, 2013 - June 28, 2018
COMMONWEALTH AUSTRALIA SECURITIES LLC
March 12, 2012 - August 19, 2013
AMUNDI DISTRIBUTORS USA, LLC
January 19, 2006 - July 25, 2007
HEDGE HARBOR INC.
April 26, 2004 - December 16, 2005
NOMURA SECURITIES INTERNATIONAL, INC.
October 6, 1997 - April 20, 2004
NEUBERGER BERMAN BD LLC
March 12, 1997 - October 14, 1997
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
Series 8
Date: 6/9/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
COMPASS DISTRIBUTORS, LLC
CRD#: 172662 / SEC#: , 8-69518
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LA FOND, SUSAN LORENE | CHIEF COMPLIANCE OFFICER / VP / TREASURER | 4512785 |
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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