Samer Farhood
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 Farhood, who also goes by Sam Farhood, Samer Farhood, was a registered financial professional .
Samer is a previously registered financial professional and started their career in finance in 2000. Samer had worked at 5 firms and has passed the SIE, Series 55, Series 7, Series 21 and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 3, 2019 - December 31, 2019
ARKADIOS CAPITAL
December 22, 2014 - April 30, 2019
TRIAD ADVISORS LLC
January 25, 2010 - October 24, 2012
BARCLAYS CAPITAL INC.
March 16, 2001 - January 27, 2010
LABRANCHE & CO. LLC
October 1, 2000 - March 16, 2001
ROBB PECK MCCOOEY SPECIALIST CORPORATION
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 55
Date: 2/4/2012
Limited Representative-Equity Trader ExamSeries 21
Date: 2/12/2003
NYSE Front Line Specialist ClerkSeries 25
Date: 4/6/2000
NYSE Trading Assistant ExaminationCurrent Firm
ARKADIOS CAPITAL
CRD#: 282710 / SEC#: , 8-69729
Contact information
FINRA licenses (53 States and Territories)
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.
