Samuel A. Fertitta
Professional summary
Samuel A Fertitta, who also goes by Sam Fertitta, Samuel Anthony Fertitta, is a registered financial professional currently at EDGEMONT CAPITAL PARTNERS, L.P. located in New York, New York.
Samuel is registered as a RR (Registered Representative) and started their career in finance in 2004. Samuel has worked at 6 firms and has passed the Series 63, Series 57TO, Series 99TO, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Samuel A Fertitta's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 20, 2023 - Present
EDGEMONT CAPITAL PARTNERS, L.P.
Office #1: 787 7th Avenue 49th Floor, New York, NY, 10019Office #2: 787 7th Avenue 49th Floor, New York, NY, 10019January 8, 2021 - April 15, 2022
ASHLAND SECURITIES, LLC
March 14, 2014 - January 12, 2021
WELLS FARGO SECURITIES, LLC
January 13, 2009 - March 19, 2014
J.P. MORGAN SECURITIES LLC
April 4, 2008 - June 4, 2008
J.P. MORGAN SECURITIES INC.
October 19, 2004 - November 1, 2006
CAPITAL ONE SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/20/2023)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
EDGEMONT CAPITAL PARTNERS, L.P.
CRD#: 122572 / SEC#: , 8-65521
Contact information
FINRA licenses (10 States and Territories)
Documents
Disclosures
| Regulatory Event | 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.
