Samuel M. Carter
Professional summary
Samuel Michael Carter is a registered financial professional currently at ROBINHOOD FINANCIAL, LLC located in Chicago, Illinois and ROBINHOOD SECURITIES, LLC located in Chicago, Illinois.
Samuel is registered as a RR (Registered Representative) and started their career in finance in 2015. Samuel has worked at 6 firms and has passed the Series 63, Series 66, SIE, Series 3, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Samuel Michael Carter's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 4, 2022 - Present
ROBINHOOD FINANCIAL, LLC
Office #1: 151 N Franklin St Floor 29, Chicago, IL 60606December 4, 2024 - Present
ROBINHOOD SECURITIES, LLC
Office #1: 151 N Franklin St Floor 29, Chicago, IL 60606February 9, 2018 - December 6, 2019
TD AMERITRADE CLEARING, INC.
December 9, 2015 - December 6, 2019
TD AMERITRADE, INC.
December 9, 2015 - December 6, 2019
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
December 9, 2015 - December 6, 2019
TD AMERITRADE, INC.
March 18, 2015 - November 17, 2015
COMMONWEALTH FINANCIAL NETWORK
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/12/2022)
Exams
FINRA
Current Firm
ROBINHOOD SECURITIES, LLC
CRD#: 287900 / SEC#: , 8-69916
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROBINHOOD MARKETS, INC | MEMBER | |
| BILLINGS, MATTHEW JOHN | PRESIDENT, CHIEF EXECUTIVE OFFICER | 1915377 |
| CAVALLARO, ANTHONY JOSEPH | CHIEF COMPLIANCE OFFICER | 1607925 |
| GALVIN, SCOT SEAN | CHIEF OPERATING OFFICER, AND PRINCIPAL OPERATIONS OFFICER | 3226179 |
| KELATI, DANIEL T | CHIEF FINANCIAL OFFICER AND FINOP | 3103432 |
| QUIRK, STEVEN MARK | MANAGER | 2728768 |
| SUBRAMANIAN, SIVARAMAKRISHNAN | MANAGER | 7339479 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 3 |
Red Flags
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