Samuel J. Foley
Professional summary
Samuel James Foley, who also goes by Samuel J Foley, is a registered financial professional currently at FRANKLIN DISTRIBUTORS, LLC located in Stamford, Connecticut.
Samuel is registered as a RR (Registered Representative) and started their career in finance in 2008. Samuel has worked at 5 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Samuel James Foley's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 11, 2022 - Present
FRANKLIN DISTRIBUTORS, LLC
Office #1: 100 First Stamford Place, Stamford, CT 06902May 15, 2019 - March 16, 2022
AMERICAN CENTURY INVESTMENT SERVICES INC.
July 21, 2011 - May 6, 2019
CLEARBRIDGE INVESTMENTS, LLC
July 21, 2011 - May 6, 2019
FRANKLIN DISTRIBUTORS, LLC
August 14, 2009 - July 18, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 14, 2009 - July 18, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 20, 2008 - August 17, 2009
OPPENHEIMER & CO. INC.
June 20, 2008 - August 17, 2009
OPPENHEIMER & CO. 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
(1/4/2023)
(1/4/2023)
(1/4/2023)
(1/16/2024)
(4/11/2022)
Exams
FINRA
Current Firm
FRANKLIN DISTRIBUTORS, LLC
CRD#: 109064 / SEC#: , 8-53089
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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