Samuel E. Badgley

SAM BADGLEY

RALEIGH, NC

CRD#: 2945411

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Professional summary

Samuel Eugene Badgley, who also goes by Sam E. Badgley, is a registered financial advisor currently at SAM BADGLEY INC. located in Raleigh, North Carolina.

Samuel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Samuel has worked at 5 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sam E. Badgley

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 Samuel Eugene Badgley's CRS (Customer Relationship Summary).

TRIAD ADVISORS LLC

CRD#: 25803

WILLIAMSTOWN, WV

Past

October 18, 2004 - March 6, 2008

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

WILLIAMSTOWN, WV

Past

September 14, 2004 - November 16, 2004

1ST GLOBAL CAPITAL CORP.

CRD#: 30349

DALLAS, TX

Past

January 21, 1998 - September 28, 2004

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

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

North Carolina
(3/7/2018)

IAR

Ohio
(1/13/2015)

IAR

Texas
(1/28/2025)

IAR

West Virginia
(1/14/2015)

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

State Security Law Exam

IAR

Series 65

Date: 8/22/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/24/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 12/1/1997

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SAM BADGLEY INC.

CRD#: 152632 / SEC#:

North Carolina

Registered Investment Advisory firm - (3/6/2018 Approved)

Ohio

Registered Investment Advisory firm - (1/13/2015 Approved)

Texas

Registered Investment Advisory firm - (1/28/2025 Conditional Restricted)

West Virginia

Registered Investment Advisory firm - (1/13/2015 Approved)

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Contact information

Main Address

Raleigh, NC

Mailing Address

Phone number

(304) 483-1788

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

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Samuel E. Badgley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Samuel Eugene Badgley's CRS (Customer Relationship Summary).

Certified licenses

Experience

SAM BADGLEY INC.

EFFICIENT ADVISORS

SAM BADGLEY INC.

TRIAD ADVISORS LLC

TRIAD ADVISORS LLC

AVANTAX INVESTMENT SERVICES, INC.

1ST GLOBAL CAPITAL CORP.

AVANTAX INVESTMENT SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/22/2008

Series 63

Date: 11/24/1997

Series 6

Date: 12/1/1997

Current Firm

SAM BADGLEY INC.

Contact information

Documents

Red Flags

Company Information

SAM BADGLEY INC.

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