Samuel D. Pecyna

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CRD#: 6249804

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 David Pecyna, who also goes by Sam Pecyna, was a registered financial professional .

Samuel is a previously registered financial professional and started their career in finance in 2014. Samuel had worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Aliases

Sam Pecyna

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 11, 2014 - November 28, 2017

VIA IV INVESTMENTS, LLC

RIA

CRD#: 121992

HINSDALE, IL

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".

VIA IV INVESTMENTS, LLC

"WISEFACTORS" | VIA IV INVESTMENTS, LLC | JEFFREY JACOB HOLLAND INVESTMENTS, LLC | JEFFREY JACOB HOLLAND INVENSTMENT, LLC | JEFFREY JACOB HOLLAND

CRD#: 121992 / SEC#: 801-120335

RIA

Registered Investment Advisory firm - (2/16/2021 Approved)

Illinois

Registered Investment Advisory firm - (9/9/2022 Terminated)

Texas

Registered Investment Advisory firm - (10/3/2014 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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: 10/21/2013

Uniform Investment Adviser Law Examination

Current Firm

VIA IV INVESTMENTS, LLC

"WISEFACTORS" | VIA IV INVESTMENTS, LLC | JEFFREY JACOB HOLLAND INVESTMENTS, LLC | JEFFREY JACOB HOLLAND INVENSTMENT, LLC | JEFFREY JACOB HOLLAND

CRD#: 121992 / SEC#: 801-120335

RIA

Registered Investment Advisory firm - (2/16/2021 Approved)

Illinois

Registered Investment Advisory firm - (9/9/2022 Terminated)

Texas

Registered Investment Advisory firm - (10/3/2014 Approved)

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Contact information

Main Address

1333 Burr Ridge Parkway Suite 200, Burr Ridge, IL 60527

Mailing Address

Phone number

(630) 674-7226

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2AB VIA IV INVESTMENTS, LLC (2/5/2025)

FORM ADV PART 2B FOR LEFTAKES (2/5/2025)

FORM ADV PART 2B FOR SCOTT MANN (2/5/2025)

Regulatory assets under management

Total Number of Accounts	531
AUM (Assets Under Management)	$ 190,460,996

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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Samuel D. Pecyna

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

VIA IV INVESTMENTS, LLC

Primary Firm SEC Registration

VIA IV INVESTMENTS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/21/2013

Current Firm

VIA IV INVESTMENTS, LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VIA IV INVESTMENTS, LLC

TRUST BUT VERIFY

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