Sam P. Badal
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.
Sam Phillip Badal, who also goes by Sam Badal, was a registered financial professional .
Sam is a previously registered financial professional and started their career in finance in 2010. Sam had worked at 3 firms and has passed the Series 66, Series 7TO, SIE, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 1, 2021 - May 25, 2021
TD AMERITRADE CLEARING, INC.
January 4, 2013 - May 18, 2020
TD AMERITRADE CLEARING, INC.
November 4, 2011 - April 10, 2017
TD AMERITRADE, INC.
November 4, 2011 - May 25, 2021
TD AMERITRADE, INC.
July 12, 2010 - February 17, 2011
EDWARD JONES
June 28, 2010 - February 17, 2011
EDWARD JONES
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 7TO
Date: 7/5/2022
General Securities Representative ExaminationCurrent Firm
TD AMERITRADE CLEARING, INC.
CRD#: 5633 / SEC#: , 8-16335
Contact information
Documents
Disclosures
| Regulatory Event | 27 |
| Arbitration | 27 |
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.
