Sam M. Stull
Professional summary
Sam Marshall Stull was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Sam is a previously registered financial advisor and started their career in finance in 2007. Prior to being barred, Sam had worked at 5 firms, which includes TD AMERITRADE INC., TD AMERITRADE INVESTMENT MANAGEMENT LLC, J.P. MORGAN SECURITIES LLC, FIDELITY BROKERAGE SERVICES LLC, M & W FINANCIAL INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 17, 2014 - October 14, 2014
TD AMERITRADE, INC.
September 17, 2014 - October 14, 2014
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
September 16, 2014 - October 14, 2014
TD AMERITRADE, INC.
August 19, 2013 - August 21, 2014
J.P. MORGAN SECURITIES LLC
August 1, 2013 - August 21, 2014
J.P. MORGAN SECURITIES LLC
October 14, 2010 - July 30, 2013
TD AMERITRADE, INC.
October 14, 2010 - July 30, 2013
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
September 9, 2010 - July 30, 2013
TD AMERITRADE, INC.
November 1, 2007 - August 27, 2010
FIDELITY BROKERAGE SERVICES LLC
February 26, 2007 - June 5, 2007
M & W FINANCIAL INC.
State Registrations and Notice Filings
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Exams
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 83 |
| Civil Event | 1 |
| Arbitration | 144 |
Red Flags
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