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ST

Samuel R. Tipton

GREAT AMERICAN INVESTORS
Chattanooga, TN 37411
Some features on this profile are disabled
CRD#: 4207609
ST

Professional summary

Samuel Ross Tipton, who also goes by Sam Tipton, is a registered financial professional currently at GREAT AMERICAN INVESTORS, INC. located in Chattanooga, Tennessee.

Samuel is registered as a RR (Registered Representative) and started their career in finance in 2000. Samuel has worked at 2 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sam Tipton

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) - BD

Click below to view Samuel Ross Tipton's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 7, 2003 - Present

GREAT AMERICAN INVESTORS, INC.

Office #1: 5506 Miller Drive, Chattanooga, TN 37411
BD
CRD#: 28489
Chattanooga, TN
Past

September 11, 2000 - January 8, 2003

EDWARD JONES

BD
CRD#: 250
ST. LOUIS, MO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(4/26/2011)
RR
California
(3/24/2023)
RR
Georgia
(1/7/2003)
RR
Louisiana
(10/24/2014)
RR
Tennessee
(1/7/2003)

Exams

State Security Law Exam
RR
Series 63
Date: 9/14/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/8/2000
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

GA
GREAT AMERICAN INVESTORS, INC.
GREAT AMERICAN INVESTORS, INC.

CRD#: 28489 / SEC#: , 8-44380

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
6025 Metcalf Lane, Overland Park, KS 66202
Mailing Address
6025 Metcalf Lane, Overland Park, KS 66202
Phone number
(913) 384-1800
Established
Kansas since 04/05/1991
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (22 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
COLBURN, EDWARD NELSON JRPRESIDENT, CHIEF COMPLIANCE OFFICER1079357
HELLER, JEFFREY PHILIPFINOP3139370

Disclosures

Regulatory Event4

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.

Company Information

GREAT AMERICAN INVESTORS, INC.

CRD#: 28489Chattanooga, TN 37411

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