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SD

Samuel G. Dayton

Some features on this profile are disabled
CRD#: 63096
SD

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 Grey Dayton JR was a registered financial professional .

Samuel is a previously registered financial professional and started their career in finance in 1949. Samuel had worked at 7 firms .

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

September 20, 1991 - June 2, 1999

AK CAPITAL LLC

BD
CRD#: 28345
NEW YORK, NY
Past

March 12, 1980 - April 29, 1991

DAYTON, KAHN, HEPPE, HANCOCK & CO.

BD
CRD#: 8153
ROSEMONT, PA
Past

November 11, 1977 - April 14, 1980

HOPPER SOLIDAY & CO., INC.

BD
CRD#: 409
Past

October 29, 1976 - November 4, 1977

MOORE, LEONARD & LYNCH, INCORPORATED

BD
CRD#: 593
Past

May 23, 1975 - November 18, 1976

BUTCHER & SINGER INC.

BD
CRD#: 6517
Past

November 19, 1973 - June 20, 1975

YARNALL BIDDLE & CO

BD
CRD#: 1000002
Past

September 30, 1949 - September 8, 1973

ELKINS & CO.

BD
CRD#: 6789

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.

Exams

Current Firm

AC
AK CAPITAL LLC
A.K. CAPITAL, LLC | DAYTON, HANCOCK, WALTMAN SECURITIES, INC. | AK CAPITAL LLC

CRD#: 28345 / SEC#: , 8-43682

BD
Terminated by SEC on 06/05/2022
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 11/16/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
KME HOLDINGS LLCOWNER/MEMBER
EBERT, PAUL FRANCISFINANCIAL AND OPERATIONS PRINCIPAL/PRINCIPAL OPERATIONS OFFICER1121231
LYNCH, WILLIAM RUSSELLGENERAL SECURITIES PRINCIPAL1879169
MELO, PETER JESUSGSP/CCO/COMPLIANCE OFFICER2485176

Disclosures

Regulatory Event1

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

AK CAPITAL LLC

CRD#: 28345

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