Samuel A. Flaten
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 A Flaten, CFP® was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 2019. Samuel had worked at 5 firms and has passed the Series 66, Series 7TO and SIE exams.
Core Areas of Focus
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2021
Experience
April 14, 2025 - July 25, 2025
NARROW ROAD FINANCIAL PLANNING LLC
October 14, 2022 - April 10, 2025
GOLD MEDAL WATERS, INC.
October 5, 2019 - July 27, 2022
MAINSTREET CAPITAL MANAGEMENT
September 27, 2019 - June 13, 2022
LPL FINANCIAL LLC
August 1, 2019 - October 16, 2019
GREAT VALLEY ADVISOR GROUP, LLC
May 10, 2019 - June 13, 2022
LPL FINANCIAL 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
Series 7TO
Date: 5/10/2019
General Securities Representative ExaminationCurrent Firm
NARROW ROAD FINANCIAL PLANNING LLC
CRD#: 334228 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 26 |
| AUM (Assets Under Management) | $ 1,773,266 |
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.
