Samuel W. Pile
Professional summary
Samuel Walker Pile was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Samuel is a previously registered financial professional and started their career in finance in 2000. Prior to being barred, Samuel had worked at 4 firms, which includes AMERICAN EQUITY INVESTMENT CORPORATION, SILVER OAK SECURITIES INCORPORATED, TRANSAMERICA FINANCIAL ADVISORS INC., OSAIC FS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 2, 2010 - December 17, 2010
AMERICAN EQUITY INVESTMENT CORPORATION
January 3, 2008 - January 4, 2010
SILVER OAK SECURITIES, INCORPORATED
April 17, 2001 - December 7, 2007
TRANSAMERICA FINANCIAL ADVISORS, INC.
December 7, 2000 - March 2, 2001
OSAIC FS, INC.
State Registrations and Notice Filings
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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
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