Samantha A. Young
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 Ann Young, who also goes by Samantha Ann Foust, Samantha Ann Mulles, was a registered financial professional .
Samantha is a previously registered financial professional and started their career in finance in 1996. Samantha had worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 10, 2020 - April 30, 2021
LEELYN SMITH, LLC
January 16, 2020 - March 24, 2021
LPL FINANCIAL LLC
October 5, 2016 - March 27, 2018
B. C. ZIEGLER AND COMPANY
October 5, 2016 - April 3, 2018
B. C. ZIEGLER AND COMPANY
July 3, 2013 - September 30, 2016
WILLIAM BLAIR
July 3, 2013 - September 30, 2016
WILLIAM BLAIR
December 10, 2012 - July 5, 2013
GENEVA ADVISORS, LLC
December 10, 2012 - July 5, 2013
GNV ADVISORS, LLC
June 1, 2009 - October 17, 2011
MORGAN STANLEY
June 1, 2009 - October 17, 2011
MORGAN STANLEY
April 21, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
August 26, 1996 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
LEELYN SMITH, LLC
CRD#: 110517 / SEC#: 801-113460
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 7TO
Date: 4/17/2024
General Securities Representative ExaminationCurrent Firm
LEELYN SMITH, LLC
CRD#: 110517 / SEC#: 801-113460
Contact information
SEC notice filing (16 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,539 |
| AUM (Assets Under Management) | $ 722,181,779 |
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.
