Samantha Geddes
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.
Samantha Geddes was a registered financial professional .
Samantha is a previously registered financial professional and started their career in finance in 2019. Samantha had worked at 4 firms and has passed the Series 65, Series 63, Series 7TO and SIE exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 5, 2024 - September 18, 2026
NUVEEN SECURITIES, LLC
January 4, 2022 - April 8, 2024
BLACKSTONE SECURITIES PARTNERS L.P.
October 8, 2020 - October 21, 2021
NUVEEN ASSET MANAGEMENT, LLC
September 14, 2020 - October 21, 2021
NUVEEN SECURITIES, LLC
March 26, 2019 - September 18, 2020
DWS DISTRIBUTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
What does exam status mean?
Series 7TO
Passed: 3/26/2019
General Securities Representative ExaminationCurrent Firm
NUVEEN SECURITIES, LLC
CRD#: 469 / SEC#: , 8-13464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 1 |
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.
