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SH

Sam A. Hill

LAKE STREET CAPITAL MARKETS
Los Angeles, CA 90028
Some features on this profile are disabled
CRD#: 5674978
SH

Professional summary

Sam Adamson Hill, who also goes by Sam Hill, is a registered financial professional currently at LAKE STREET CAPITAL MARKETS, LLC located in Los Angeles, California.

Sam is registered as a RR (Registered Representative) and started their career in finance in 2010. Sam has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 79 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sam Hill

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.
BAKER GROUP M&A CONSULTANTS, INC; INV REL; OVERLAND PARK, KS; MERGERS AND ACQUISITION CONSULTING; REGIONAL ASSOCIATE; START 03/2023; APPROX 15 HRS/MO; 10 HRS DURING SEC TRADING; APPROX 30% OF TIME.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sam Adamson Hill's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

May 30, 2023 - Present

LAKE STREET CAPITAL MARKETS, LLC

Office #1: 1800 North Vine Street, Los Angeles, CA 90028
BD
CRD#: 164447
Los Angeles, CA
Past

May 10, 2023 - December 6, 2023

EMPIRIKAL PARTNERS LLC

RIA
CRD#: 282691
San Diego, CA
Past

June 14, 2021 - January 4, 2023

H.C.WAINWRIGHT & CO., LLC

BD
CRD#: 375
NEW YORK, NY
Past

February 24, 2021 - June 30, 2021

MAXIM GROUP LLC

BD
CRD#: 120708
NEW YORK, NY
Past

December 4, 2019 - August 28, 2020

NOMURA SECURITIES INTERNATIONAL, INC.

BD
CRD#: 4297
NEW YORK, NY
Past

May 2, 2017 - July 5, 2019

PERELLA WEINBERG PARTNERS LP

BD
CRD#: 138618
SAN FRANCISCO, CA
Past

September 10, 2015 - April 11, 2017

OPPENHEIMER & CO. INC.

BD
CRD#: 249
SAN FRANCISCO, CA
Past

August 13, 2010 - August 13, 2012

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(6/26/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/27/2023
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/8/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 8/27/2015
Investment Banking Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/1/2021
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

LS
LAKE STREET CAPITAL MARKETS, LLC
LAKE STREET CAPITAL MARKETS, LLC

CRD#: 164447 / SEC#: , 8-69101

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
121 South 8th Street Suite 1000, Minneapolis, MN 55402
Mailing Address
121 South 8th Street Suite 1000, Minneapolis, MN 55402
Phone number
(612) 326-1305
Established
Minnesota since 05/07/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (30 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LAKE STREET HOLDINGS, LLCDIRECT OWNER
ARGENTO, MARK NICHOLASPRESIDENT/DIR2732498
BROWN, ROBERT DUNCANDIR4297681
CULLUM, THOMAS CHARLES JREXECUTIVE CHAIRMAN/DIR1694901
MARTINUZZI, ERICCOO/DIR4142535
MCNAMEE, PAUL ANDREWCCO/FINOP/CFO6788820
TOWNLEY, MICHAEL PRESTONCEO/DIR3112485

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.

Company Information

LAKE STREET CAPITAL MARKETS, LLC

CRD#: 164447Los Angeles, CA 90028

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