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BS

Benjamin B. Sams

HAVILAND & SAMS
Farmington, CT 06032
Some features on this profile are disabled
CRD#: 2858844
BS

Professional summary

Benjamin Barrett Sams, who also goes by Ben Sams, is a registered financial advisor currently at HAVILAND & SAMS, LLC located in Farmington, Connecticut.

Benjamin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Benjamin has worked at 2 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Ben Sams

Other business activities

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Barrett Sams's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

May 8, 2006 - Present

HAVILAND & SAMS, LLC

Office #1: 30 Stanford Drive 2nd Floor, Farmington, CT 06032
RIA
CRD#: 127175
Farmington, CT
Past

March 26, 1997 - April 10, 2006

NYLIFE SECURITIES LLC

BD
CRD#: 5167
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Connecticut
(5/8/2006)
IAR
Florida
(7/12/2012)
IAR
Massachusetts
(5/8/2006)
IAR
New York
(7/16/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/5/2006
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/3/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 3/24/1997
Investment Company Products/Variable Contracts Representative Examination

Current Firm

H&
HAVILAND & SAMS, LLC
HAVILAND & SAMS, LLC | THE HAVILAND GROUP, LLC

CRD#: 127175 / SEC#:

Connecticut
Registered Investment Advisory firm - (7/1/2003 Approved)
Florida
Registered Investment Advisory firm - (7/12/2012 Approved)
Massachusetts
Registered Investment Advisory firm - (5/2/2006 Approved)
New York
Registered Investment Advisory firm - (7/16/2025 Approved)
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Contact information

Main Address
30 Stanford Drive 2nd Floor, Farmington, CT 06032
Mailing Address
Phone number
(860) 678-1414
Established
Firm type
Fiscal year end
# of Employees
6

Documents

Latest Form ADV

Red Flags

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Company Information

HAVILAND & SAMS, LLC

CRD#: 127175Farmington, CT 06032

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