Samuel R. Waltman

KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT

SALT LAKE CITY, UT 84108

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CRD#: 4650562

Professional summary

Samuel R Waltman, CFP®, who also goes by Samuel Rex Waltman, is a registered financial advisor currently at KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC located in Salt Lake City, Utah and VP DISTRIBUTORS LLC located in Los Angeles, California.

Samuel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Samuel has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Samuel Rex Waltman

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) - RIA

Click below to view Samuel R Waltman's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2017

Experience

Current

May 18, 2016 - Present

KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC

Office #1: 2091 E 1300 S Ste 201, Salt Lake City, UT 84108

RIA

CRD#: 104599

SALT LAKE CITY, UT

Current

May 18, 2016 - Present

VP DISTRIBUTORS LLC

Office #1: 2000 Avenue Of The Stars Suite 1110, Los Angeles, CA 90067

CRD#: 3036

Los Angeles, CA

Past

August 8, 2014 - February 17, 2016

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

SAN FRANCISCO, CA

Past

August 8, 2014 - February 17, 2016

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

SAN FRANCISCO, CA

Past

January 14, 2013 - August 13, 2014

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

WALNUT CREEK, CA

Past

August 18, 2011 - May 15, 2012

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

WALNUT CREEK, CA

Past

August 17, 2011 - August 13, 2014

J.P. MORGAN SECURITIES LLC

CRD#: 79

WALNUT CREEK, CA

Past

September 6, 2010 - August 31, 2011

BARCLAYS CAPITAL INC.

RIA

CRD#: 19714

SAN FRANCISCO, CA

Past

August 30, 2010 - August 31, 2011

BARCLAYS CAPITAL INC.

CRD#: 19714

SAN FRANCISCO, CA

Past

April 28, 2003 - February 15, 2008

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

SALT LAKE CITY, UT

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC

KAYNE ANDERSON INVESTMENT MANAGEMENT LLC | KAYNE ANDERSON RUDNICK WEALTH ADVISORS | KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC

CRD#: 104599 / SEC#: 801-24241

RIA

Registered Investment Advisory firm - (5/22/1985 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

IAR

Arizona
(7/5/2022)

California
(5/18/2016)

IAR

California
(5/18/2016)

IAR

Colorado
(4/21/2022)

IAR

Florida
(7/19/2022)

IAR

Michigan
(4/17/2023)

IAR

Texas
(6/29/2022)

Utah
(5/18/2016)

IAR

Utah
(11/9/2016)

IAR

Washington
(4/21/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/3/2010

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/13/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/27/2010

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/25/2003

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC

KAYNE ANDERSON INVESTMENT MANAGEMENT LLC | KAYNE ANDERSON RUDNICK WEALTH ADVISORS | KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC

CRD#: 104599 / SEC#: 801-24241

RIA

Registered Investment Advisory firm - (5/22/1985 Approved)

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Contact information

Main Address

2000 Avenue Of The Stars Suite 1110, Los Angeles, CA 90067

Mailing Address

Phone number

(310) 556-2721

Established

Firm type

Fiscal year end

# of Employees

119

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KAR ADV PART 2A 3/26/2025 (3/26/2025)

Regulatory assets under management

Total Number of Accounts	27,435
AUM (Assets Under Management)	$ 45,493,862,358

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.

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Firm Stability Insights

Samuel R. Waltman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Samuel R Waltman's CRS (Customer Relationship Summary).

Certified licenses

Experience

VP DISTRIBUTORS LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

BARCLAYS CAPITAL INC.

BARCLAYS CAPITAL INC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/3/2010

Series 63

Date: 5/13/2003

SIE

Date: 10/1/2018

Series 7

Date: 8/27/2010

Series 6

Date: 4/25/2003

FINRA

Current Firm

KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

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