Samuel B. Atiase
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.
Samuel Boakye Atiase, who also goes by Samuel Atiase, was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 2002. Samuel had worked at 4 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
November 6, 2013 - August 5, 2014
ALIGHT FINANCIAL SOLUTIONS, LLC
August 17, 2011 - March 15, 2013
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
January 11, 2005 - March 15, 2013
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
April 12, 2004 - August 9, 2004
FORESIDE FUNDS DISTRIBUTORS LLC
November 7, 2002 - January 28, 2004
VANGUARD MARKETING CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ALIGHT FINANCIAL SOLUTIONS, LLC
CRD#: 36509 / SEC#: , 8-47344
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
| 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.
