SE
Samuel Z. Estes
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CRD#: 5066184
SE
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 Zach Estes was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 2005. Samuel had worked at 5 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
April 10, 2012 - February 20, 2013
INVESTMENT PROFESSIONALS, INC.
RIA
CRD#: 30184
CLEVELAND, GA
Past
April 5, 2012 - February 20, 2013
INVESTMENT PROFESSIONALS, INC.
BD
CRD#: 30184
CLEVELAND, GA
Past
November 19, 2010 - October 24, 2011
CANTELLA & CO., INC.
RIA
CRD#: 13905
GAINESVILLE, GA
Past
November 15, 2010 - October 24, 2011
CANTELLA & CO., INC.
BD
CRD#: 13905
GAINESVILLE, GA
Past
October 5, 2010 - November 12, 2010
INVESTMENT PROFESSIONALS, INC.
RIA
CRD#: 30184
CLEVELAND, GA
Past
October 4, 2010 - November 12, 2010
INVESTMENT PROFESSIONALS, INC.
BD
CRD#: 30184
CLEVELAND, GA
Past
January 22, 2009 - October 5, 2010
NEXITY FINANCIAL SERVICES, INC.
RIA
CRD#: 144048
CLEVELAND, GA
Past
January 21, 2009 - October 5, 2010
NEXITY FINANCIAL SERVICES, INC.
BD
CRD#: 144048
CLEVELAND, GA
Past
February 28, 2008 - January 27, 2009
E*TRADE SECURITIES LLC
BD
CRD#: 29106
ALPHARETTA, GA
Past
January 18, 2006 - February 19, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
SLIDELL, LA
Past
November 22, 2005 - February 19, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
SLIDELL, LA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
Current Firm
IP
INVESTMENT PROFESSIONALS, INC.
ACCESS INVESTMENT SERVICES | TNB FINANCIAL SERVICES | TEXAS COUNTRY INVESTMENT PROFESSIONALS | TCB INVESTMENT PROFESSIONALS | SUSSEX INVESTMENT SERVICES | STATEWIDE INVESTMENT PROFESSIONALS | SSB INVESTMENT PROFESSIONALS | SOUTHERN INVESTMENT PROFESSIONALS | SOUTHERN FINANCIAL SERVICES | SMB INVESTMENT PROFESSIONALS | SECURITY FINANCIAL GROUP | SEAWAY FINANCIAL SERVICES | SCHERTZ FINANCIAL SERVICES | SAIDIS ASSET MANAGEMENT | S&T FINANCIAL SERVICES | RIO INVESTMENT PROFESSIONALS, INC. | RIO INVESTMENT PROFESSIONALS | RELIANCE INVESTMENT PROFESSIONALS | RCB FINANCIAL SERVICES | QUEENSBOROUGH INVESTMENT PROFESSIONALS | QNB FINANCIAL SERVICES | PRUITT WEALTH AND ADVISORY SOLUTIONS, LLC | PREMIER INVESTMENT SERVICES | PLAZA INVESTMENT SERVICES | PLATINUM ON WALL STREET | PEOPLES INVESTMENT PROFESSIONALS | PBA INVESTMENT SERVICES | OSWEGO COMMUNITY INVESTMENT SERVICES | NORTHWEST COMMUNITY INVESTMENT SERVICES | NORTHSTAR INVESTMENT PROFESSIONALS | NORTH VALLEY INVESTMENT PROFESSIONALS | NORTH COMMUNITY INVESTMENT SERVICES | MUTUAL INVESTMENT PROFESSIONALS | MOUNTAIN VALLEY INVESTMENT SERVICES | MOODY INVESTMENTS | MONTICELLO WEALTH MANAGEMENT | METROPOLITAN INVESTMENT SERVICES | METROPOLITAN INVESTMENT PROFESSIONALS | MARTHA'S VINEYARD SECURITIES | MARQUIS INVESTEMENT SERVICES | LONE STAR TRUST & INVESTMENTS | LONE STAR INVESTMENT PROFESSIONALS | LNB COMMUNITY INVESTMENT PROFESSIONALS | LINTON FINANCIAL, LLC | LIBERTY INVESTMENT PROFESSIONALS | LEGACY INVESTMENT PROFESSIONALS | IPI TRUST SERVICES | IPI LIFE & ANNUITY | IPI ADVICE & PLANNING SERVICES | IPI | INVESTMENT SERVICES AT KENTUCKY BANK | INVESTMENT PROFESSIONALS, INC. | INVESTMENT CENTRE AT EASTERN BANK | INDEPENDENCE FINACIAL SERVICES | HUNTINGDON VALLEY INVESTMENT PROFESSIONALS | HOME FINANCIAL SERVICES | HILLTOP INVESTMENT PROFESSIONALS | HIGH COUNTRY INVESTMENT PROFESSIONALS | HERITAGE INVESTMENT PROFESSIONALS | HCSB INVESTMENT PROFESSIONALS | HCB INVESTMENT CENTER | GREAT PLAINS INVESTMENT PROFESSIONALS | GBT INVESTMENT PROFESSIONALS | FSB WEALTH MANAGEMENT | FRONTIER INVESTMENT PROFESSIONALS | FRANKEWING INVESTMENT PROFESSIONALS | FNBC FIRST INVESTMENT PROFESSIONALS | FIRST STATE INVESTMENT PROFESSIONALS | FIRST NATIONAL INVESTMENT PROFESSIONALS OF HOPE | FIRST NATIONAL INVESTMENT PROFESSIONALS | FIRST INVESTMENT SERVICES | FIRST INVESTMENT PROFESSIONALS | FIRST FARMERS INVESTMENT SERVICES | FIRST COMMERCIAL INVESTMENT SERVICES | FIRST CLASS AMERCIAN INVESTMENT SERVICES | FIRST BRECKINRIDGE INVESTMENTS | FIRST ARKANSAS INVESTMENT PROFESSIONALS | FARMERS INVESTMENT PROFESSIONALS | FARMERS AND MERCHANTS INVESTMENT PROFESSIONALS | EVANS AND ASSOCIATES | EMP GROUP | EDGARTOWN INVESTMENT PROFESSIONALS | EDENS INVESTMENT SERVICES | ECLIPSE FINANCIAL GROUP | EASTERN MICHIGAN INVESTMENT SERVICES | EAST BOSTON INVESTMENT SERVICES | DSA FINANCIAL GROUP | DESTINY FINANCIAL | CUSTOMERS INVESTMENT SERVICES | CURRITUCK INVESTMENT PROFESSIONALS | CSB INVESTMENT SERVICES | CORNERSTONE INVESTMENT PROFESSIONALS | COMMUNITY INVESTMENT PROFESSIONALS | COMMUNITY FINANCIAL PLANNING | COMMUNITY BANK OF DUPAGE INVESTMENT SERVICES | COMMERCIAL INVESTMENT PROFESSIONALS | COMMERCE PROFESSIONALS INVESTMENT | COMMERCE INVESTMENT PROFESSIONALS | COBLE WEALTH MANAGEMENT | CNB FINANCIAL SERVICES | CLINTON INVESTMENT SERVICES | CLEAR MOUNTAIN INVESTMENTS | CITIZENS COMMUNITY INVESTMENT SERVICES | CHICAGO COMMUNITY INVESTMENT SERVICES | CENTRAL INVESTMENT SERVICES | CENTENNIAL FINANCIAL SERVICES | CAWTHORNE FINANCIAL GROUP | CASHMERE VALLEY WEALTH MANAGEMENT | CAROLINA PREMIER INVESTMENTS | CARLISLE & GUTHRIE WEALTH MANAGEMENT | CANYON INVESTMENT PROFESSIONALS | BRENHAM INVESTMENT PROFESSIONALS | BRANSON INVESTMENT PROFESSIONALS | BLUEGRASS INVESTMENT PROFESSIONALS | BLUE WATER FINANCIAL SERVICES | BALLY FINANCIAL | BADGER INVESTMENT PROFESSIONALS | B.O.M. FINANCIAL SERVICES | AVENUE INVESTMENT PROFESSIONALS | AUB INVESTMENT PROFESSIONALS | ARCHER INVESTMENT SERVICES | ANCORA WEALTH MANAGEMENT | AMERICAN INVESTMENT PROFESSIONALS | AMERICAN DREAM INVESTMENTS | ALLEGIANCE COMMUNITY INVESTMENT SERVICES...
CRD#: 30184 / SEC#: 801-67704, 8-44786
BD
Terminated by SEC on 12/01/2018
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Contact information
Main Address
16414 San Pedro Avenue Suite 300, San Antonio, TX 78232
Mailing Address
Phone number
Established
Texas since 03/16/1992
Firm type
Corporation
Fiscal year end
December
# of Employees
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 16 |
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.
