Samuel P. Solomon
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 Pedraza Solomon, who also goes by Samuel Ronald Pedraza, Samuel Pedraza Soloman, was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 1980. Samuel had worked at 7 firms and has passed the Series 65, Series 63, Series 5, Series 7, Series 53, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 10, 2021 - December 31, 2022
SOLOMON ADVISORS
September 26, 2018 - December 31, 2018
SOLOMON ADVISORS
December 20, 2007 - December 31, 2017
SOLOMON ADVISORS
December 5, 1990 - March 18, 2008
SOLOMON ADVISORS
May 15, 1990 - November 23, 1991
PRIVATE BROKERS CORPORATION
September 21, 1988 - May 8, 1990
PROSPERA FINANCIAL SERVICES, INC.
June 6, 1986 - September 21, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 2, 1985 - July 3, 1986
UNDERWOOD, NEUHAUS & CO., INCORPORATED
October 21, 1983 - December 12, 1985
PRUDENTIAL EQUITY GROUP, LLC
February 11, 1981 - November 23, 1983
MORGAN STANLEY DW INC.
February 22, 1980 - March 9, 1981
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 5
Date: 12/11/1982
Interest Rate Options ExaminationCurrent Firm
SOLOMON ADVISORS
CRD#: 26610 / SEC#: , 8-42685
Contact information
Regulatory assets under management
| Total Number of Accounts | 32 |
| AUM (Assets Under Management) | $ 5,000,000 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
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.
