ES
Eric A. Sams
AXXCESS WEALTH MANAGEMENT
Franklin, TN 37067
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CRD#: 5722993
ES
Professional summary
Eric Allen Sams, who also goes by Eric Allen Sams A, is a registered financial advisor currently at AXXCESS WEALTH MANAGEMENT, LLC located in Franklin, Tennessee.
Eric is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Eric has worked at 7 firms and has passed the Series 66, Series 52TO, Series 99TO, SIE, Series 79, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Eric Allen Sams A
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.
1.) E & E Financial, LLC; Not investment-related; Nolensville, TN and San Diego, CA; DBA for investment advisory business with Axxcess Wealth Management, LLC ("AWM"). 2.) Monahan & Roth, LLC; Not Investment-Related; San Diego, CA; Consulting services; Consultant; Start Date 3/2011; Approximately 10 - 40 Hours Per Week, during securities trading hours; Responsible for due diligence, case research, client services, and provides direct support to senior management on all matters. 3.) Insurance; Not Investment Related; Nolensville, TN and San Diego, CA; Insurance; Agent; Start 4/2010; Less Than 5% of Time, during securities trading hours; sales of insurance through CPS Insurance 4.) Harriet Tubman Village Charter School; Not investment-related; San Diego, CA; Educational organization; President of the Board; Start 05/2019; 5 hours/month, not during securities trading hours; attend board meetings
CRS (Client Relationship Summary) - RIA
Click below to view Eric Allen Sams's 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®
NoneExperience
Current
January 4, 2022 - Present
AXXCESS WEALTH MANAGEMENT, LLC
Office #1: 2550 Meridian Blvd Suite #250, Franklin, TN 37067Office #2: 3111 Camino Del Rio North Suite 400, San Diego, CA 92108RIA
CRD#: 164081
Franklin, TN
Past
July 13, 2020 - April 15, 2024
XTON FINANCIAL LLC
BD
CRD#: 132847
San Diego, CA
Past
May 1, 2020 - December 31, 2021
AXXCESS WEALTH MANAGEMENT, LLC
RIA
CRD#: 164081
San Diego, CA
Past
March 26, 2020 - April 30, 2020
MILLENNIAL ADVISERS, LLC.
RIA
CRD#: 170847
San Diego, CA
Past
March 25, 2020 - April 30, 2020
ALLIED MILLENNIAL PARTNERS, LLC
BD
CRD#: 16569
San Diego, CA
Past
January 3, 2017 - July 15, 2020
WBB SECURITIES, LLC
RIA
CRD#: 118440
SAN DIEGO, CA
Past
January 3, 2017 - July 15, 2020
WBB SECURITIES, LLC
BD
CRD#: 118440
SAN DIEGO, CA
Past
March 15, 2011 - October 31, 2016
COINBASE CAPITAL MARKETS CORP
RIA
CRD#: 10722
SAN DIEGO, CA
Past
March 15, 2011 - January 3, 2017
COINBASE CAPITAL MARKETS CORP
BD
CRD#: 10722
SAN DIEGO, CA
Past
April 26, 2010 - March 16, 2011
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
SAN DIEGO, CA
Past
March 5, 2010 - March 16, 2011
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
SAN DIEGO, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AW
AXXCESS WEALTH MANAGEMENT, LLC
ALTA PRIVATE WEALTH | WILLIAMSON LEGACY GROUP | VANDALIA WEALTH MANAGEMENT | THE ZANDBERGEN GROUP | SILVERSTONE PRIVATE WEALTH | SEWALSON MILAZZO FINANCIAL CONSULTING GROUP | SENTRY PACIFIC FINANCIAL GROUP | ROUTE 20 PRIVATE WEALTH | PROVIDENCE WEALTH MANAGEMENT | PATHFINDER WEALTH ADVISORS | PATHFINDER | OUTWING PRIVATE WEALTH MANAGEMENT | OSPREY CAPITAL PARTNERS LLC | OPTIMIZED WEALTH STRATEGIES | MK CAPITAL ADVISORS, LLC | MAGNOLIA CAPITAL MANAGEMENT | MADDIX WEALTH MANAGEMENT | LIFETIME WEALTH SOLUTIONS | LA WEALTH ADVISORS | JENNIFER P. EASLEY, CFP | INVESTATE WEALTH MANAGEMENT | E AND E FINANCIAL | DONAHUGH WEALTH | COLLIER SUSTAINABLE WEALTH MANAGEMENT | AXXCESS WEALTH MANAGEMENT, LLC | ASSET PRESERVATION STRATEGIES | ASCENDANT CAPITAL MANAGEMENT, LLC | AMBROSINI WEALTH
CRD#: 164081 / SEC#: 801-76763
RIA
Registered Investment Advisory firm - (6/6/2012 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
California(1/5/2022)
IAR
Tennessee(7/5/2022)
IAR
Texas(1/4/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
AW
AXXCESS WEALTH MANAGEMENT, LLC
ALTA PRIVATE WEALTH | WILLIAMSON LEGACY GROUP | VANDALIA WEALTH MANAGEMENT | THE ZANDBERGEN GROUP | SILVERSTONE PRIVATE WEALTH | SEWALSON MILAZZO FINANCIAL CONSULTING GROUP | SENTRY PACIFIC FINANCIAL GROUP | ROUTE 20 PRIVATE WEALTH | PROVIDENCE WEALTH MANAGEMENT | PATHFINDER WEALTH ADVISORS | PATHFINDER | OUTWING PRIVATE WEALTH MANAGEMENT | OSPREY CAPITAL PARTNERS LLC | OPTIMIZED WEALTH STRATEGIES | MK CAPITAL ADVISORS, LLC | MAGNOLIA CAPITAL MANAGEMENT | MADDIX WEALTH MANAGEMENT | LIFETIME WEALTH SOLUTIONS | LA WEALTH ADVISORS | JENNIFER P. EASLEY, CFP | INVESTATE WEALTH MANAGEMENT | E AND E FINANCIAL | DONAHUGH WEALTH | COLLIER SUSTAINABLE WEALTH MANAGEMENT | AXXCESS WEALTH MANAGEMENT, LLC | ASSET PRESERVATION STRATEGIES | ASCENDANT CAPITAL MANAGEMENT, LLC | AMBROSINI WEALTH
CRD#: 164081 / SEC#: 801-76763
RIA
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Contact information
Main Address
6005 Hidden Valley Road Suite 290, Carlsbad, CA 92011
Mailing Address
Phone number
(858) 217-5347
Established
Firm type
Fiscal year end
# of Employees
86
SEC notice filing (41 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 22,242 |
| AUM (Assets Under Management) | $ 6,329,396,180 |
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.
