Samir H. Hussein
Professional summary
Samir H Hussein, who also goes by Samir Hassan Hussein, is a registered financial professional currently at LADENBURG THALMANN & CO. INC. located in New York, New York.
Samir is registered as a RR (Registered Representative) and started their career in finance in 1996. Samir has worked at 12 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Samir H Hussein's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 23, 2025 - Present
LADENBURG THALMANN & CO. INC.
Office #1: 640 5th Avenue 4th Floor, New York, NY 10019September 5, 2024 - January 11, 2025
COMCAP HOLDINGS LLC
November 30, 2023 - April 23, 2024
ROTH CAPITAL PARTNERS, LLC
June 8, 2020 - January 9, 2024
KROLL SECURITIES LLC
October 9, 2015 - May 22, 2020
OPPENHEIMER & CO. INC.
July 16, 2014 - August 28, 2015
CANTOR FITZGERALD & CO.
July 26, 2011 - May 2, 2014
CITIZENS JMP SECURITIES, LLC
April 7, 2005 - May 16, 2011
DEUTSCHE BANK SECURITIES INC.
June 5, 2001 - April 11, 2005
BANC OF AMERICA SECURITIES LLC
August 19, 1999 - May 15, 2001
MORGAN STANLEY & CO. LLC
November 29, 1997 - August 27, 1999
CITIGROUP GLOBAL MARKETS INC.
September 23, 1996 - September 1, 1998
SALOMON BROTHERS 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
(1/23/2025)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
NYSE American LLC
NYSE Arca, Inc.
NYSE Texas, Inc.
Nasdaq Stock Market
New York Stock Exchange
Current Firm
LADENBURG THALMANN & CO. INC.
CRD#: 505 / SEC#: , 8-17230
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC HOLDINGS, INC. | OWNER | |
| BLANCATO, PHILIP SALVATORE | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2122221 |
| GIDEON, MICHAEL R | DIRECTOR, CO-PRESIDENT, AND CO-CHIEF EXECUTIVE OFFICER, PRINCIPAL OPERATIONS OFFICER | 5315304 |
| GIOVANNIELLO, JOSEPH | SVP/GENERAL COUNSEL/ASSISTANT SECRETARY | 3086071 |
| MITCHELL, CHRISTOPHER MILLS | TREASURER AND FINANCIAL OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
| SPATOLA, BRIAN MICHAEL | CHIEF COMPLIANCE OFFICER / MSRB PRINCIPAL | 2773548 |
| STEINER, BARRY EVAN | DIRECTOR, CO-PRESIDENT, CO-CHIEF EXECUTIVE OFFICER AND INVESTMENT BANKING SUPERVISOR | 2775629 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 14 |
Red Flags
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