Samuel M. Wasserman
Professional summary
Samuel Morton Wasserman was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Samuel is a previously registered financial advisor and started their career in finance in 1969. Prior to being barred, Samuel had worked at 10 firms, which includes WOOD ASSET MANAGEMENT LLC, TRAUTMAN WASSERMAN & COMPANY INC., CORINTHIAN PARTNERS L.L.C., LEHMAN BROTHERS KUHN LOEB INCORPORATED, LEHMAN BROTHERS INC., PRUDENTIAL EQUITY GROUP LLC, BACHE HALSEY STUART INC., BACHE & CO INCORPORATED, BACHE & CO. INCORPORATED, STEIN BROS. & BOYCE INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 5, 2009 - January 4, 2010
WOOD ASSET MANAGEMENT LLC
June 3, 1999 - February 13, 2007
TRAUTMAN WASSERMAN & COMPANY, INC.
January 8, 1997 - March 31, 1999
CORINTHIAN PARTNERS, L.L.C.
January 28, 1981 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
January 7, 1981 - January 30, 1995
LEHMAN BROTHERS INC.
September 16, 1977 - January 26, 1981
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
April 26, 1976 - August 27, 1976
BACHE & CO INCORPORATED
July 16, 1970 - April 26, 1976
BACHE & CO., INCORPORATED
April 7, 1969 - February 8, 1972
STEIN BROS. & BOYCE, 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
Series 15
Date: 12/13/1983
Foreign Currency Options ExaminationSeries 5
Date: 11/2/1983
Interest Rate Options ExaminationPC
Date: 9/13/1977
AMEX Put and Call ExamSeries 1
Date: 9/8/1960
Registered Representative ExaminationSeries 00
Date: 3/26/1969
General Securities Principal ExaminationCurrent Firm
WOOD ASSET MANAGEMENT LLC
CRD#: 106347 / SEC#: 801-46248
Contact information
Red Flags
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