John C. Sams
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.
John Clifford Sams was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1970. John had worked at 14 firms and has passed the Series 63, Series 7, Series 1, Series 4, Series 27, Series 53, Series 24 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 12, 1995 - January 1, 1996
FINANCE 500, INC.
February 14, 1995 - May 18, 1995
ROBERT SCOTT SECURITIES, INC.
November 14, 1994 - January 5, 1995
J. A. OVERTON & CO., INC.
May 3, 1994 - November 8, 1994
AMERICAN INTERSTATE FINANCIAL CORPORATION
March 28, 1994 - April 5, 1994
ROBERT SCOTT SECURITIES, INC.
October 27, 1992 - January 1, 1994
RAYMOND-MARTIN FINANCIAL INC.
April 30, 1991 - October 22, 1992
FINANCIAL WEST GROUP
October 12, 1989 - April 30, 1991
FINANCIAL WEST INVESTMENT GROUP
February 7, 1989 - October 7, 1989
MESA SECURITIES CORPORATION
February 9, 1988 - December 13, 1988
INDEPENDENT INVESTMENT BROKERS OF AMERICA
October 20, 1983 - January 12, 1988
BLISS SECURITIES, INC.
May 31, 1983 - October 25, 1983
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
July 14, 1975 - December 17, 1976
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
July 25, 1974 - August 16, 1975
LOEB RHOADES & CO
September 25, 1973 - July 7, 1974
ROBERTS, SCOTT & CO., INC.
March 8, 1971 - October 25, 1973
H. HENTZ & CO., INC.
August 7, 1970 - March 5, 1971
ROBERTS, SCOTT & CO., 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 1
Date: 3/13/1962
Registered Representative ExaminationSeries 40
Date: 3/19/1970
Registered Principal ExaminationCurrent Firm
FINANCE 500, INC.
CRD#: 12981 / SEC#: , 8-28302
Contact information
Documents
Disclosures
| Regulatory Event | 16 |
| Arbitration | 5 |
| Bond | 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.
