Sam E. Whittaker
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.
Sam Edwin Whittaker, who also goes by Sam E Whittaker, was a registered financial professional .
Sam is a previously registered financial professional and started their career in finance in 1971. Sam had worked at 7 firms and has passed the Series 63, Series 3, Series 7, Series 000 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 24, 1986 - November 18, 1986
BROWNSTONE-SMITH SECURITIES CORP.
August 10, 1984 - December 5, 1984
TRIZAK SECURITIES CORPORATION
April 4, 1983 - July 18, 1983
PRUDENTIAL EQUITY GROUP, LLC
December 1, 1982 - April 5, 1983
SHERWOOD CAPITAL, INC.
November 17, 1976 - August 27, 1978
SHEARSON HAYDEN STONE INC.
July 10, 1973 - November 17, 1976
SHEARSON HAYDEN STONE INC.
February 1, 1971 - June 24, 1973
DUPONT WALSTON, INCORPORATED
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 000
Date: 8/6/1965
General Securities Principal ExaminationSeries 1
Date: 8/6/1965
Registered Representative ExaminationCurrent Firm
BROWNSTONE-SMITH SECURITIES CORP.
CRD#: 17118 / SEC#: , 8-35062
Contact information
Documents
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.
