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SB

Samuel Bronstein

AXOM PARTNERS LLC
New York, NY
Some features on this profile are disabled
CRD#: 6359783
SB

Professional summary

Samuel Bronstein is a registered financial professional currently at AXOM PARTNERS LLC located in New York, New York.

Samuel is registered as a RR (Registered Representative) and started their career in finance in 2017. Samuel has worked at 3 firms and has passed the Series 63, SIE and Series 79 exams.

top-8-questions

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) - BD

Click below to view Samuel Bronstein'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

May 31, 2024 - Present

AXOM PARTNERS LLC

BD
CRD#: 328894
New York, NY
Past

March 27, 2023 - April 11, 2024

FINALIS SECURITIES LLC

BD
CRD#: 305908
NEW YORK, NY
Past

October 25, 2017 - February 9, 2022

QATALYST PARTNERS LP

BD
CRD#: 147251
SAN FRANCISCO, CA

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
New York
(6/21/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 11/3/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 10/25/2017
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AP
AXOM PARTNERS LLC
AXOM PARTNERS LLC

CRD#: 328894 / SEC#: , 8-71192

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
3451 N. Triumph Blvd Suite 104, Lehi, UT 84043
Mailing Address
3451 N. Triumph Blvd Suite 104, Lehi, UT 84043
Phone number
(801) 753-8686
Established
Delaware since 04/21/2023
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#
AXOM PARTNERS HOLDINGS, LLCSOLE MEMBER
BRESSERS, ALAN MICHAELCHAIRMAN4974200
FLEISCHMAN, SAMUEL JAYCHIEF COMPLIANCE OFFICER1860709
HIGHTOWER, BRANDON STAPLEYCEO5840886
RYAN, KIMBERLY ANNFINOP4316310

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

AXOM PARTNERS LLC

CRD#: 328894New York, NY

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