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SP

Samuel M. Poser

WILLIAMS TRADING LLC
Westport, CT 06880
Some features on this profile are disabled
CRD#: 4820375
SP

Professional summary

Samuel Marc Poser, who also goes by Sam Poser, is a registered financial professional currently at WILLIAMS TRADING LLC located in Westport, Connecticut.

Samuel is registered as a RR (Registered Representative) and started their career in finance in 2006. Samuel has worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 86, Series 87 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sam Poser

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) - BD

Click below to view Samuel Marc Poser's 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®
None

Experience

Current

January 7, 2021 - Present

WILLIAMS TRADING LLC

Office #1: 450 Post Road East Suite 120, Westport, CT 06880
BD
CRD#: 43678
Westport, CT
Past

August 1, 2016 - January 6, 2021

SUSQUEHANNA FINANCIAL GROUP, LLLP

BD
CRD#: 35865
NEW YORK, NY
Past

April 20, 2015 - July 5, 2016

CRT CAPITAL GROUP LLC

BD
CRD#: 28830
New York, NY
Past

June 14, 2007 - April 20, 2015

STERNE, AGEE & LEACH, INC.

BD
CRD#: 791
NEW YORK, NY
Past

November 2, 2006 - March 12, 2007

FTN EQUITY CAPITAL MARKETS CORP.

BD
CRD#: 119625
CLEVELAND, OH
Past

March 3, 2006 - July 25, 2007

MOSAIC RESEARCH, INC.

RIA
CRD#: 130169
PORTLAND, OR

State Registrations and Notice Filings

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

RR
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

RR
Alabama
(9/7/2023)
RR
Arizona
(1/7/2021)
RR
California
(1/7/2021)
RR
Colorado
(1/7/2021)
RR
Connecticut
(1/7/2021)
RR
Delaware
(1/7/2021)
RR
Florida
(1/7/2021)
RR
Georgia
(1/7/2021)
RR
Illinois
(1/7/2021)
RR
Indiana
(1/7/2021)
RR
Kansas
(1/7/2021)
RR
Louisiana
(1/7/2021)
RR
Maryland
(1/7/2021)
RR
Massachusetts
(1/7/2021)
RR
Michigan
(1/7/2021)
RR
Minnesota
(1/7/2021)
RR
New Jersey
(1/7/2021)
RR
New York
(1/7/2021)
RR
North Carolina
(1/7/2021)
RR
Ohio
(1/7/2021)
RR
Oklahoma
(1/7/2021)
RR
Oregon
(1/7/2021)
RR
Pennsylvania
(1/7/2021)
RR
Rhode Island
(1/7/2021)
RR
South Carolina
(1/7/2021)
RR
Texas
(1/7/2021)
RR
Virginia
(1/7/2021)
RR
Washington
(1/7/2021)
RR
Wisconsin
(1/7/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 11/15/2006
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 3/2/2006
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 86
Date: 2/19/2007
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 87
Date: 12/1/2006
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 11/1/2006
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

WT
WILLIAMS TRADING LLC
WILLIAMS TRADING LLC

CRD#: 43678 / SEC#: , 8-50372

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
450 Post Road East Suite 120, Westport, CT 06880
Mailing Address
450 Post Road East Suite 120, Westport, CT 06880
Phone number
(203) 353-7600
Established
Connecticut since 12/31/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (31 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
WILLIAMS, DAVID BREWSTERMANAGING MEMBER/GENERAL SECURITIES PRINCIPAL1715713
GOERTZ, JOSEPH THOMASCHIEF COMPLIANCE OFFICER/DIRECTOR OF OPERATIONS5607738
MARCIANO, LANCE DANIELCHIEF OPERATING OFFICER2261020
MOONEY, MATTHEW BRIANREGISTERED OPTIONS PRINCIPAL3100953
MOROVATI, BABAK BOBBYCFO/FINANCIAL OPERATIONS PRINCIPAL/PFO/POO5650049

Disclosures

Regulatory Event1

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.

Company Information

WILLIAMS TRADING LLC

CRD#: 43678Westport, CT 06880

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