Samuel Bell
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 Bell Jr, who also goes by Sam Bell Jr, Samuel (jr) Bell, Samuel Bell Jr, Samuel Bell, was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 1999. Samuel had worked at 10 firms and has passed the Series 66, 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
February 27, 2020 - December 21, 2020
LION STREET FINANCIAL, LLC
January 5, 2016 - April 25, 2018
FSC SECURITIES CORPORATION
May 20, 2013 - April 3, 2014
VALIC FINANCIAL ADVISORS, INC.
May 13, 2013 - April 3, 2014
VALIC FINANCIAL ADVISORS, INC.
February 17, 2012 - May 8, 2012
KALOS MANAGEMENT
January 30, 2012 - May 8, 2012
KALOS CAPITAL, INC.
November 4, 2008 - February 17, 2011
STATE FARM VP MANAGEMENT CORP.
June 22, 2007 - June 2, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 10, 2007 - June 2, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 17, 2006 - April 11, 2007
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2004 - March 23, 2006
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
June 1, 2000 - January 1, 2004
TEACHERS PERSONAL INVESTORS SERVICES, INC.
July 22, 1999 - May 10, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
LION STREET FINANCIAL, LLC
CRD#: 165828 / SEC#: , 8-69183
Contact information
FINRA licenses (23 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
