Samuel R. Asamoah
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 R. Asamoah, who also goes by Sam R Asamoah, was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 1998. Samuel had worked at 5 firms and has passed the Series 63, SIE 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 18, 2021 - December 2, 2021
AMERICAN EQUITY INVESTMENT CORPORATION
April 14, 2009 - January 25, 2019
AVANTAX INVESTMENT SERVICES, INC.
July 10, 2007 - April 9, 2009
CETERA INVESTMENT ADVISERS LLC
July 10, 2007 - April 9, 2009
CETERA FINANCIAL SPECIALISTS LLC
June 15, 2000 - November 14, 2006
AVANTAX ADVISORY SERVICES
March 31, 1998 - November 11, 2006
AVANTAX INVESTMENT SERVICES, 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
AMERICAN EQUITY INVESTMENT CORPORATION
CRD#: 40199 / SEC#: , 8-49078
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PEOPLES, TIMOTHY ERIC | PRESIDENT / CHIEF COMPLIANCE OFFICER | 1026456 |
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.
