Samer S. Sharaiha
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.
Samer Saad Sharaiha, who also goes by Samer S Sharaiha, was a registered financial professional .
Samer is a previously registered financial professional and started their career in finance in 2003. Samer had worked at 9 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 11, 2014 - September 19, 2014
SIGNATOR INVESTORS, INC.
June 11, 2014 - September 19, 2014
SIGNATOR INVESTORS, INC.
November 26, 2012 - December 14, 2012
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
November 16, 2012 - December 14, 2012
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
July 14, 2010 - November 17, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 13, 2010 - November 17, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 15, 2009 - November 3, 2009
GRIZZLY PEAK GROUP LLC
March 11, 2008 - April 28, 2009
U.S. BANCORP ADVISORS, LLC
March 11, 2008 - April 28, 2009
U.S. BANCORP ADVISORS, LLC
March 8, 2007 - December 17, 2007
TD AMERITRADE, INC.
March 8, 2007 - December 17, 2007
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
March 8, 2007 - December 17, 2007
TD AMERITRADE, INC.
March 15, 2006 - February 16, 2007
ATLAS SECURITIES, LLC
November 18, 2003 - September 3, 2004
BANC OF AMERICA INVESTMENT SERVICES, 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
SIGNATOR INVESTORS, INC.
CRD#: 468 / SEC#: 801-56298, 8-13995
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOHN HANCOCK FINANCIAL NETWORK, INC. | PARENT COMPANY | |
| ARMSTRONG, ABIGAIL MARIE | VICE PRESIDENT, COUNSEL AND ASST SECRETARY | 1239945 |
| CAPPUCCIO, PAUL ANTHONY | ASSISTANT VICE PRESIDENT | 2151678 |
| COLLINS, BRIAN DOUGLAS | VICE PRESIDENT | 6445623 |
| DORVAL, STEVEN FRANCIS | DIRECTOR | 4163630 |
| HORACK, THOMAS JOSEPH | VP & DIRECTOR | 861315 |
| KARMAN, MITCHELL ANDREW | DIRECTOR | 2837307 |
| KWONG-LOI, YIU | ASSISTANT SECRETARY | 6639555 |
| LANNIGAN, TRACY KANE | SECRETARY | 6944688 |
| MARYANOPOLIS, CHRISTOPHER | PRESIDENT & DIRECTOR | 3041077 |
| REBMAN, JILL DENISE | DIRECTOR | 6520386 |
| RIGATTI, MATTHEW FORREST | DIRECTOR | 2461646 |
| RISPOLI, FRANK JOSEPH | CHIEF FINANCIAL OFFICER & TREASURER | 4364402 |
| SCORPIO, CARON MARIE | ASSISTANT VICE PRESIDENT | 4275948 |
| SPADAFORA, CRAIG ALAN | DIRECTOR | 3184320 |
| TERRY, JOSEPH DEAN | CHIEF COMPLIANCE OFFICER & DIRECTOR | 4612910 |
| TETA, ANTHONY MAURICE | DIRECTOR | 4617856 |
| TUCKER, BRIAN THOMAS | ASSISTANT SECRETARY | 2285090 |
| VACON, MELISSA M | VICE PRESIDENT & DIRECTOR | 6189199 |
| WALTERS, GINA GOLDYCH | DIRECTOR | 5095838 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 12 |
| 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.
