Jamal H. Sampson
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.
Jamal Hiram Sampson, who also goes by Jay Sampson, was a registered financial professional .
Jamal is a previously registered financial professional and started their career in finance in 1999. Jamal had worked at 11 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 12, 2019 - September 6, 2022
SW FINANCIAL
January 31, 2019 - December 11, 2019
WORDEN CAPITAL MANAGEMENT LLC
September 14, 2015 - January 30, 2019
FIRST STANDARD FINANCIAL COMPANY LLC
May 12, 2015 - September 15, 2015
BLACKBOOK CAPITAL, LLC
August 20, 2009 - May 7, 2015
CAPE SECURITIES INC.
January 23, 2009 - August 20, 2009
AURA FINANCIAL SERVICES, INC.
July 11, 2003 - October 23, 2008
LEGEND MERCHANT GROUP, INC.
September 27, 2002 - November 18, 2002
GUNNALLEN FINANCIAL, INC
February 7, 2001 - November 22, 2002
SCHNEIDER SECURITIES, INC.
November 1, 1999 - February 2, 2001
HAPOALIM SECURITIES USA, INC.
March 31, 1999 - November 4, 1999
FIRST MERGER CAPITAL, 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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
SW FINANCIAL
CRD#: 145012 / SEC#: , 8-67688
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 7 |
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.
