Samuel A. Smith
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.
Samuel Austin Smith, who also goes by Sam Smith Jr, Sam A. Smith Jr., Sam A. Smith, was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 1996. Samuel had worked at 5 firms and has passed the Series 63 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
January 4, 2010 - October 1, 2012
ALLIED BEACON PARTNERS, INC.
April 17, 2007 - October 1, 2012
CL WEALTH MANAGEMENT LLC
July 15, 2005 - December 23, 2009
COMMUNITY BANKERS SECURITIES, LLC
December 7, 2000 - July 14, 2005
UVEST FINANCIAL SERVICES GROUP, INC.
December 24, 1996 - December 31, 2000
PRINCIPAL SECURITIES, INC.
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
ALLIED BEACON PARTNERS, INC.
CRD#: 46227 / SEC#: , 8-51357
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BEACON AQUISITION PARTNERS, INC | SHAREHOLDER | |
| MATHER, ROBERT PHILIP | PRESIDENT, CEO, CCO, CFO AND CORPORATE SECRETARY | 1764918 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
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.
