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SW

Samuel R. Wakefield

NATALLIANCE SECURITIES
Dallas, TX 75225
Some features on this profile are disabled
CRD#: 704021
SW

Professional summary

Samuel Robert Wakefield is a registered financial professional currently at NATALLIANCE SECURITIES, LLC located in Dallas, Texas.

Samuel is registered as a RR (Registered Representative) and started their career in finance in 1980. Samuel has worked at 8 firms and has passed the Series 63, Series 57TO, Series 99TO, Series 79TO, SIE, Series 55, Series 7, Series 27 and Series 24 exams.

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 Robert Wakefield's CRS (Customer Relationship Summary).
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

April 1, 2020 - Present

NATALLIANCE SECURITIES, LLC

Office #1: 7777 Glen America Dr Ste 353, Dallas, TX 75225
BD
CRD#: 39455
Dallas, TX
Past

October 2, 2017 - April 6, 2020

HILLTOP SECURITIES INC.

BD
CRD#: 6220
Dallas, TX
Past

July 3, 2017 - October 1, 2017

STONEX FINANCIAL INC.

BD
CRD#: 45993
Dallas, TX
Past

May 2, 2014 - July 3, 2017

STERNE, AGEE & LEACH, INC.

BD
CRD#: 791
Dallas, TX
Past

February 13, 2013 - May 6, 2014

RAYMOND JAMES & ASSOCIATES, INC.

RIA
CRD#: 705
DALLAS, TX
Past

February 13, 2013 - May 6, 2014

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
DALLAS, TX
Past

November 12, 2004 - February 13, 2013

MORGAN KEEGAN & COMPANY, LLC

RIA
CRD#: 4161
DALLAS, TX
Past

November 12, 2004 - February 13, 2013

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
DALLAS, TX
Past

July 18, 1983 - November 1, 2004

ALLIED RESEARCH SERVICES, INC.

BD
CRD#: 13588
DALLAS, TX
Past

January 19, 1980 - July 20, 1983

CAPIS

BD
CRD#: 7551

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
Alabama
(4/1/2020)
RR
California
(4/1/2020)
RR
Colorado
(4/1/2020)
RR
Maine
(4/1/2020)
RR
Texas
(4/1/2020)
RR
Virginia
(4/9/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 1/23/1981
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 4/19/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 1/19/1980
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 8/27/1982
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/14/1980
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

NS
NATALLIANCE SECURITIES, LLC
NATALLIANCE INVESTMENT BANKING | SINEX SECURITIES, LLC. | NATIONAL ALLIANCE SECURITIES, LLC | NATIONAL ALLIANCE SECURITIES CORPORATION | NATIONAL ALLIANCE CAPITAL, LLC | NATALLIANCE SECURITIES, LLC | NATALLIANCE SECURITIES

CRD#: 39455 / SEC#: , 8-48723

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

Main Address
3101 Bee Cave Rd Suite 800, Austin, TX 78701
Mailing Address
3101 Bee Cave Rd Suite 270, Austin, TX 78746
Phone number
(512) 609-1700
Established
Delaware since 12/31/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (46 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
NATALLIANCE HOLDING COMPANY LLCOWNER
ADAMS, JASONBOARD MEMBER2690575
BRENNER, ANDREW SCOTTBOARD MEMBER1227535
BUSH, FRED COSTONCFO/COO3075024
CARREON, MICHELLE ELLISCCO4861485
GIORDANO, MICHAEL JAMESBOARD MEMBER5942248
HENDRICKSON, GEORGE ALEXANDER BROWNBOARD MEMBER2382347
LIEPMAN, JOHN FRANCISBOARD MEMBER2037298
LOERCH, SAMUEL JAMESBOARD MEMBER1195328
SALTER, MARK MYLESBOARD MEMBER/CEO/PRESIDENT1180139
TAYLOR, BRADFORD STEPHENBOARD MEMBER5751455

Disclosures

Regulatory Event8

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

NATALLIANCE SECURITIES, LLC

CRD#: 39455Dallas, TX 75225

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