Samuel P. Cleveland
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.
Samuel Peter Cleveland, who also goes by Sam Cleveland, was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 1969. Samuel had worked at 9 firms and has passed the Series 63, Series 6 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
March 22, 2012 - January 30, 2013
P.J. ROBB VARIABLE, LLC
May 4, 1995 - March 21, 2012
FSC SECURITIES CORPORATION
October 4, 1983 - May 5, 1995
NEW ENGLAND SECURITIES
January 31, 1982 - October 6, 1983
OSAIC FS, INC.
March 8, 1977 - December 9, 1983
OLD SLIP CAPITAL MANAGEMENT, INC.
November 30, 1976 - September 29, 1986
THE MINNESOTA MUTUAL LIFE INSURANCE COMPANY
March 5, 1971 - October 12, 1983
TRANSAMERICA FINANCIAL ADVISORS, INC.
August 6, 1970 - January 3, 1984
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
January 1, 1969 - March 8, 1977
CNA INVESTOR SERVICES, 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
Exams
Series 1
Date: 12/24/1968
Registered Representative ExaminationCurrent Firm
P.J. ROBB VARIABLE, LLC
CRD#: 38339 / SEC#: , 8-48197
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CRUMP LIFE INSURANCE SERVICES, LLC | OWNER | |
| COLLINS, HEATHER MARIE | ASSISTANT TREASURER AND PRINCIPAL OPERATIONS OFFICER | 5851459 |
| CORDLE, COYE BAXTER III | CHIEF COMPLIANCE OFFICER, AML OFFICER & PRIVACY OFFICER | 4544954 |
| HARRISON, BRUCE ANDREW | PRESIDENT, CEO AND CHAIRMAN OF THE BOARD / DIRECTOR | 2232934 |
| MERCHANT, JEFFREY S | CHIIEF FINANCIAL OFFICER / TREASURER / PRINCIPAL FINANCIAL OFFICER / DIRECTOR | 4668892 |
| SCHUYLER, JOHN EDWIN | SECRETARY AND DIRECTOR | 1056044 |
| STAHLNECKER, ERIN ELIZABETH | ALTERNATE PRINCIPAL OPERATIONS OFFICER | 6606934 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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