Samuel D. Wyman
Professional summary
Samuel Dow Wyman JR, who also goes by Sandy Wyman, is a registered financial professional currently at ARETE WEALTH MANAGEMENT, LLC located in Melville, New York.
Samuel is registered as a RR (Registered Representative) and started their career in finance in 1972. Samuel has worked at 12 firms and has passed the Series 63, Series 65, Series 7TO, SIE, PC, Series 000, Series 1, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Samuel Dow Wyman JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 21, 2022 - Present
ARETE WEALTH MANAGEMENT, LLC
Office #1: 425 Broadhollow Rd. Suite 325, Melville, NY 11747January 6, 2021 - July 22, 2022
NATIONAL SECURITIES CORPORATION
October 12, 2015 - December 31, 2020
LADENBURG THALMANN & CO. INC.
January 7, 2003 - October 19, 2015
GILFORD SECURITIES INCORPORATED
November 1, 2001 - December 20, 2002
ADVEST, INC.
November 3, 2000 - November 7, 2001
CREDIT SUISSE SECURITIES (USA) LLC
July 9, 1979 - November 8, 2001
PERSHING LLC
January 18, 1978 - August 16, 1979
LOEB PARTNERS
May 5, 1977 - January 18, 1978
HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED
November 22, 1974 - May 5, 1977
SPENCER TRASK & CO. INCORPORATED
July 8, 1974 - December 13, 1974
THOMSON MCKINNON SECURITIES INC.
January 10, 1972 - August 19, 1975
W. E. HUTTON & CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/21/2022)
(7/21/2022)
(7/21/2022)
(7/25/2022)
(7/21/2022)
(10/19/2023)
(8/8/2022)
(7/21/2022)
(7/27/2022)
(5/18/2023)
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 6/20/1977
AMEX Put and Call ExamSeries 000
Date: 1/6/1972
General Securities Principal ExaminationSeries 1
Date: 1/6/1972
Registered Representative ExaminationSeries 12
Date: 4/16/1983
NYSE Branch Manager ExaminationFINRA
Current Firm
ARETE WEALTH MANAGEMENT, LLC
CRD#: 44856 / SEC#: , 8-50854
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ARETE WEALTH INC | DIRECT OWNER | |
| BULLA, CHRISTIAN ALEXANDER | MUNICIPAL SECURITIES PRINCIPAL | 7067640 |
| CHUNG, UNBO | CHIEF COMPLIANCE OFFICER / AML COMPLIANCE OFFICER | 6208569 |
| HOCK, DAVID CARL | CHIEF FINANCIAL OFFICER / FINANCIAL & OPERATIONS PRINCIPAL (FINOP) | 2246268 |
| RAYNER, MICAH HARDING | REGISTERED OPTIONS PRINCIPAL | 6252596 |
| ROGERS, JOSHUA DEAN | CHIEF EXECUTIVE OFFICER | 3163818 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
