Samuel L. Nofzinger

PUBLIC ADVISORS LLC

New York, NY

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CRD#: 5743483

Professional summary

Samuel L. Nofzinger, CFA, who also goes by Sam Lawrance Nofzinger, Samuel Laurence Nofzinger, Samuel Lawrance Nofzinger, Samuel L. Nofzinger, is a registered financial advisor currently at PUBLIC ADVISORS LLC located in New York, New York and OPEN TO THE PUBLIC INVESTING, INC. located in New York, New York.

Samuel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Samuel has worked at 6 firms and has passed the Series 65, SIE, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sam Lawrance Nofzinger | Samuel Laurence Nofzinger | Samuel Lawrance Nofzinger | Samuel L. Nofzinger

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.) Public Holdings, Inc. Investment related. 6 Harrison St, New York, NY 10013. Holding company for domestic and foreign investment related companies. GM, Crypto and Brokerage. 8/15/2022. 20+ hours per month devoted to other business. 20+ hours per month during securities trading hours. Brokerage operations duties for the enterprise. 2.) AlphaInsights. Investment related. 50 Pine St Apt 11, New York, NY 10005. Consultant to discuss occurring events in the financial industry. 10/25/2024. 2 hours per month devoted to other business during securities hours. Financial Consulting.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Samuel L. Nofzinger'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®

CFA

Chartered Financial Analyst

Experience

Current

February 13, 2025 - Present

PUBLIC ADVISORS LLC

Office #2: 6 Harrison St. 5th Floor, New York, NY 10013

RIA

CRD#: 318234

New York, NY

Current

August 16, 2022 - Present

OPEN TO THE PUBLIC INVESTING, INC.

Office #1: 6 Harrison St 5th Floor/suite, New York, NY 10013

CRD#: 127818

New York, NY

Past

September 27, 2018 - December 20, 2021

SOFI SECURITIES LLC

CRD#: 151717

New York, NY

Past

August 30, 2018 - December 20, 2021

SOFI WEALTH LLC

RIA

CRD#: 167958

New York, NY

Past

February 22, 2010 - June 27, 2016

BALLENTINE PARTNERS

RIA

CRD#: 152802

WALTHAM, MA

Past

December 24, 2009 - February 23, 2010

BALLENTINE FINN & CO INC

RIA

CRD#: 108853

WALTHAM, MA

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".

PUBLIC ADVISORS LLC

OPEN TO THE PUBLIC ADVISORS | PUBLIC.COM | PUBLIC ADVISORS LLC. | PUBLIC ADVISORS LLC

CRD#: 318234 / SEC#: 801-123433

RIA

Registered Investment Advisory firm - (3/24/2022 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

New York
(2/13/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/24/2009

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/27/2018

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 1/5/2024

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 7/8/2021

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

PUBLIC ADVISORS LLC

OPEN TO THE PUBLIC ADVISORS | PUBLIC.COM | PUBLIC ADVISORS LLC. | PUBLIC ADVISORS LLC

CRD#: 318234 / SEC#: 801-123433

RIA

Registered Investment Advisory firm - (3/24/2022 Approved)

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Contact information

Main Address

6 Harrison St. 5th Floor, New York, NY 10013

Mailing Address

Phone number

(212) 401-6946

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A- PUBLIC ADVISORS LLC. (10/2/2025)

Regulatory assets under management

Total Number of Accounts	1,429
AUM (Assets Under Management)	$ 8,812,622

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.

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Advisor Monitoring

Firm Stability Insights

Samuel L. Nofzinger

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Samuel L. Nofzinger's CRS (Customer Relationship Summary).

Certified licenses

Experience

OPEN TO THE PUBLIC INVESTING, INC.

SOFI SECURITIES LLC

SOFI WEALTH LLC

BALLENTINE PARTNERS

BALLENTINE FINN & CO INC

Primary Firm SEC Registration

PUBLIC ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/24/2009

SIE

Date: 10/1/2018

Series 7

Date: 9/27/2018

Series 4

Date: 1/5/2024

Series 24

Date: 7/8/2021

FINRA

Current Firm

PUBLIC ADVISORS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PUBLIC ADVISORS LLC

TRUST BUT VERIFY

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