Samuel L. Collins
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 Luffberry Collins was a registered financial advisor .
Samuel is a previously registered financial advisor and started their career in finance in 1966. Samuel had worked at 7 firms and has passed the Series 65, Series 63, Series 000, Series 1, Series 8, Series 12 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 24, 1999 - November 11, 2009
SCOTT & STRINGFELLOW, LLC
May 5, 1999 - November 11, 2009
SCOTT & STRINGFELLOW, LLC
December 16, 1998 - May 5, 1999
SCOTT & STRINGFELLOW, INC.
May 27, 1994 - December 11, 1998
FIRST UNION CAPITAL MARKETS CORP.
November 21, 1986 - May 25, 1994
ADVEST, INC.
September 20, 1983 - November 12, 1986
PRUDENTIAL EQUITY GROUP, LLC
September 19, 1966 - May 22, 1977
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
September 16, 1966 - October 3, 1983
E. F. HUTTON & COMPANY 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 000
Date: 9/16/1966
General Securities Principal ExaminationSeries 1
Date: 9/16/1966
Registered Representative ExaminationSeries 8
Date: 2/3/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Series 12
Date: 2/6/1975
NYSE Branch Manager ExaminationSeries 40
Date: 1/29/1975
Registered Principal ExaminationCurrent Firm
SCOTT & STRINGFELLOW, LLC
CRD#: 6255 / SEC#: 801-40380, 8-1361
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BB&T CORPORATION | OWNER | |
| ROBBINS, GEORGE WILLIAM IV | BOARD OF MANAGERS | 2440106 |
| BALL, MICHAEL DOUGLAS | SENIOR MANAGING DIRECTOR / REGIONAL MANAGER | 1134463 |
| CECIL, ALEXANDER WILSON | CHIEF COMPLIANCE OFFICER / MANAGING DIRECTOR / BOARD OF MANAGERS | 2319938 |
| CRAM, BRYAN SCOTT | PRESIDENT PRIVATE CLIENT GROUP/SENIOR MANAGING DIRECTOR/BOARD OF MANAGERS | 2723431 |
| DANIELS, KENNETH LUE | BOARD OF MANAGERS | 5562440 |
| GRIM, MERLIN T | SENIOR MANAGING DIRECTOR/FINANCIAL OPERATIONS & RISK OFFICER/BOARD OF MANAGERS | 1386380 |
| HARDY, WILLIAM EDWARD | SENIOR MANAGING DIRECTOR / HEAD OF DEBT CAPITAL MARKETS/BOARD OF MANAGERS | 1459645 |
| JOHNSON, HAL SWORDS | BOARD OF MANAGERS | 2932544 |
| JUNG, JOHN BERNARD JR | SR MANAGING DIR./CHIEF MARKETING OFFICER/BOARD OF MANAGERS | 1296163 |
| OSHEA, PATRICK ARTHUR | SENIOR MANAGING DIRECTOR/EQUITY CAPITAL MARKETS/BOARD OF MANAGERS | 1580879 |
| OWEN, MICHAEL COLE | SENIOR MANAGING DIRECTOR / REGIONAL MANAGER | 1146778 |
| SAUFLEY, RANDALL BARRETT | CHIEF FINANCIAL OFFICER / FINOP /MANAGING DIRECTOR | 1664935 |
| SCOTT, SIDNEY BUFORD | CHAIRMAN/BOARD OF MANAGERS | 417234 |
| THOMPSON, JUSTIN SHANE | ROP | 3200997 |
| YATES, WILLIAM RUFUS III | CHIEF EXECUTIVE OFFICER/BOARD OF MANAGERS | 4515188 |
Disclosures
| Regulatory Event | 37 |
| Arbitration | 4 |
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.
