Assaf Samuel
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.
Assaf Samuel, who also goes by Seth Samuel, was a registered financial professional .
Assaf is a previously registered financial professional and started their career in finance in 2000. Assaf had worked at 11 firms and has passed the Series 65, Series 63 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
October 15, 2013 - January 24, 2014
PHX FINANCIAL, INC.
February 20, 2013 - April 17, 2013
LAMPERT CAPITAL MARKETS INC.
October 25, 2012 - January 3, 2013
NATIONAL SECURITIES CORPORATION
June 21, 2012 - September 12, 2012
NATIONAL SECURITIES CORPORATION
September 9, 2011 - July 2, 2012
OBSIDIAN FINANCIAL GROUP, LLC
May 4, 2011 - May 31, 2011
ANDREW GARRETT INC.
February 18, 2009 - January 27, 2011
CHASE INVESTMENT SERVICES CORP.
February 18, 2009 - January 27, 2011
CHASE INVESTMENT SERVICES CORP.
June 12, 2007 - January 12, 2009
CHASE INVESTMENT SERVICES CORP.
October 15, 2003 - January 12, 2009
CHASE INVESTMENT SERVICES CORP.
March 25, 2003 - September 22, 2003
QUICK & REILLY, INC.
September 1, 2001 - October 9, 2002
KIRLIN SECURITIES INC.
July 2, 2001 - September 1, 2001
M.S. FARRELL & COMPANY, INC.
June 7, 2001 - July 2, 2001
WEATHERLY SECURITIES CORPORATION
September 15, 2000 - June 7, 2001
LADENBURG CAPITAL MANAGEMENT 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
Current Firm
PHX FINANCIAL, INC.
CRD#: 144403 / SEC#: , 8-67653
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
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.
