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SR

Samuel B. Riffe

ACQUIOM FINANCIAL LLC
Denver, CO 80202
Some features on this profile are disabled
CRD#: 4385410
SR

Professional summary

Samuel Benjamin Riffe is a registered financial professional currently at ACQUIOM FINANCIAL LLC located in Denver, Colorado.

Samuel is registered as a RR (Registered Representative) and started their career in finance in 2001. Samuel has worked at 2 firms and has passed the Series 63, Series 99TO, Series 6TO, SIE, Series 7 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Benjamin Riffe's 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

February 25, 2019 - Present

ACQUIOM FINANCIAL LLC

Office #1: 950 17th Street Ste 1400, Denver, CO 80202
BD
CRD#: 170074
Denver, CO
Past

June 19, 2001 - August 16, 2001

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY

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
Colorado
(2/25/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 3/23/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 8/22/2025
Operations Professional Examination
General Industry/Product Exam
RR
Series 6TO
Date: 2/23/2019
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 2/16/2019
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/18/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 3/9/2019
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AF
ACQUIOM FINANCIAL LLC
ACQUIOM FINANCIAL LLC

CRD#: 170074 / SEC#: , 8-69408

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

Main Address
950 17th Street Ste 1400, Denver, CO 80202
Mailing Address
950 17th Street Ste 1400, Denver, CO 80202
Phone number
(720) 279-0964
Established
Colorado since 10/04/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
SRS ACQUIOM HOLDINGS LLCUNITHOLDER
AREND, SEAN KRISTIANCHIEF COMPLIANCE OFFICER6409880
KOENIG, WILLIAM PAULPRESIDENT6285415
RICHTER, TYLER KEVINPRINCIPAL FINANCIAL OFFICER6361430
YATES, MELINDA MARIEPRINCIPAL OPERATIONS OFFICER6785708

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

ACQUIOM FINANCIAL LLC

CRD#: 170074Denver, CO 80202

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