AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
SC

Sam Culley

EQUITEQ SECURITIES LLC
New York, NY 10016
Some features on this profile are disabled
CRD#: 5951456
SC

Professional summary

Sam Culley, who also goes by Samuel Culley, is a registered financial professional currently at EQUITEQ SECURITIES LLC located in New York, New York.

Sam is registered as a RR (Registered Representative) and started their career in finance in 2023. Sam has worked at 3 firms and has passed the Series 63, Series 79TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Samuel Culley

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sam Culley'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®
None

Experience

Current

June 28, 2025 - Present

EQUITEQ SECURITIES LLC

Office #1: 460 Park Avenue South Suite 1102, New York, NY 10016
BD
CRD#: 283799
New York, NY
Past

August 1, 2023 - July 2, 2025

CITIZENS JMP SECURITIES, LLC

BD
CRD#: 22208
Atlanta, GA
Past

January 27, 2023 - August 1, 2023

CITIZENS CAPITAL MARKETS

BD
CRD#: 277073
Atlanta, GA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Georgia
(7/16/2025)
RR
New York
(6/28/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 1/13/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/27/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 1/4/2023
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

ES
EQUITEQ SECURITIES LLC
EQUITEQ INC. | EQUITEQ SECURITIES LLC

CRD#: 283799 / SEC#: , 8-69767

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
460 Park Avenue South Suite 1102, New York, NY 10016
Mailing Address
460 Park Avenue South Suite 1102, New York, NY 10016
Phone number
(212) 256-1120
Established
Delaware since 08/11/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
EQUITEQ INC.SOLE MEMBER
ASARO, PAUL JOSEPHFINOP4243619
FINCKE, GREGCEO6682361
IGNALL, EVAN TODDCCO2039007
JORGENSON, DAVID HAMMONDPRESIDENT4684856

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.

Company Information

EQUITEQ SECURITIES LLC

CRD#: 283799New York, NY 10016

TRUST BUT VERIFY

Monitor Sam Culley

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
Peter Faulkner Kettle
Peter KettleAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Brooklyn, NY
Diane E Finnerty
Diane FinnertyAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
New York, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.