Stephanie Layne Samimi
Professional Summary
Stephanie Layne Samimi, who also goes by Stephanie Layne, was a registered financial advisor. Stephanie was a previously registered financial professional and started their career in finance 1998 - 2023. Stephanie had worked at 5 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Stephanie Layne
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
28 years registered in the securities industry
Current & Past Employments
Past
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Current Firm
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Contact Information
Main Address
4135 Nw Urbandale Dr, Urbandale, IA 50322Mailing Address
4135 Nw Urbandale Dr, Urbandale, IA 50322Phone Number
(877) 886-1939Established
Delaware since 06/03/2021Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Large# of Employees
400SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
FINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
Documents
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
20,448AUM (Assets Under Management)
$5,411,976,879Disclosures
Regulatory Event
3Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
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State Registrations and Notice Filings
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Apr 1998About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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