Samuel L. Nofzinger
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 L. Nofzinger, CFA, who also goes by Sam Lawrance Nofzinger, Samuel Laurence Nofzinger, Samuel Lawrance Nofzinger, Samuel L. Nofzinger, was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 2009. Samuel had worked at 6 firms and has passed the Series 65, SIE, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 13, 2025 - December 26, 2025
PUBLIC ADVISORS LLC
August 16, 2022 - December 26, 2025
OPEN TO THE PUBLIC INVESTING, INC.
September 27, 2018 - December 20, 2021
SOFI SECURITIES LLC
August 30, 2018 - December 20, 2021
SOFI WEALTH LLC
February 22, 2010 - June 27, 2016
BALLENTINE PARTNERS
December 24, 2009 - February 23, 2010
BALLENTINE FINN & CO INC
Primary Firm SEC Registration
PUBLIC ADVISORS LLC
CRD#: 318234 / SEC#: 801-123433
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
Current Firm
PUBLIC ADVISORS LLC
CRD#: 318234 / SEC#: 801-123433
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,429 |
| AUM (Assets Under Management) | $ 8,812,622 |
Red Flags
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