Adam A. Sampson
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.
Adam Aaron Sampson was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 2010. Adam had worked at 1 firm and has passed the Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 9, 2010 - July 13, 2011
AVIAN SECURITIES, LLC
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
Series 55
Date: 11/12/2010
Limited Representative-Equity Trader ExamCurrent Firm
AVIAN SECURITIES, LLC
CRD#: 46347 / SEC#: , 8-51389
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE AVI COHEN TRUST | PARTNER | |
| ZIRKEL, LAWRENCE EVAN | PARTNER | 2257064 |
| COHEN, AVI | TRUSTEE OF THE AVI COHEN TRUST, MANAGER & CHIEF COMPLIANCE OFFICER, ROP | 2410714 |
| COHEN, VANDA | TRUSTEE OF THE VANDA COHEN TRUST | 4653126 |
| KATSNELSON, DAVID | TRUSTEE OF THE ERIK GIDEON COHEN TRUST 2003, TRUSTEE OF THE ETHAN DAVID COHEN TRUST 2003 | 3260849 |
| LOVELL, NATHANIEL WILLARD | ROP | 4300307 |
| PFEIFFER, MARK STEWART | PARTNER | 4089566 |
| THE ERIK GIDEON COHEN TRUST 2003 | PARTNER | |
| THE ETHAN DAVID COHEN TRUST 2003 | PARTNER | |
| THE VANDA COHEN TRUST | PARTNER |
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.
