Craig L. Weiner
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.
Craig Leigh Weiner was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 2016. Craig had worked at 1 firm and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 21, 2016 - November 19, 2018
SAMI BROKERAGE LLC
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
Current Firm
SAMI BROKERAGE LLC
CRD#: 18217 / SEC#: 801-undefined, 8-36472
Contact information
FINRA licenses (17 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SPECTRUM ASSET MANAGEMENT, INC. | 100% OWNER | |
| BYER, MATTHEW ROSS | CHIEF INFORMATION SECURITY OFFICER | 3120607 |
| HANCZOR, JOSEPH ANDREW | CHIEF COMPLIANCE OFFICER | 5200684 |
| JACOBY, LEWIS PHILLIP IV | HEAD OF TRADING | 1238147 |
| LIEB, MARK ALAN | PRESIDENT | 853490 |
| ORLANDO, JEAN MARIE | FINANCIAL OPERATIONS PRINCIPAL & CHIEF FINANCIAL OFFICER | 1197909 |
Disclosures
| Regulatory Event | 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.
