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SB

Samuel Berkowitz

SECONDMARKET FINANCIAL
NEW YORK, NY 10016
Some features on this profile are disabled
CRD#: 7082029
SB

Professional summary

Samuel Berkowitz, who also goes by Samuel Berkowitz, Sam Ethan Berkowitz, Samuel E Berkowitz, Samuel Ethan Berkowitz, is a registered financial advisor currently at SECONDMARKET FINANCIAL, LLC located in New York, New York and NPM SECURITIES, LLC located in New York, New York.

Samuel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Samuel has worked at 4 firms and has passed the Series 66, Series 63, Series 99TO, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Samuel Berkowitz | Sam Ethan Berkowitz | Samuel E Berkowitz | Samuel Ethan Berkowitz

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) - RIA

Click below to view Samuel Berkowitz'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

May 4, 2026 - Present

SECONDMARKET FINANCIAL, LLC

Office #1: 3 E 28th Street 7th Floor, New York, NY 10016
RIA
CRD#: 333332
NEW YORK, NY
Current

June 11, 2025 - Present

NPM SECURITIES, LLC

Office #1: 3 East 28th Street 7th Floor, New York, NY 10016
BD
CRD#: 168469
New York, NY
Past

April 26, 2021 - July 12, 2022

BREX TREASURY LLC

BD
CRD#: 299606
SALT LAKE CITY, UT
Past

September 16, 2020 - April 29, 2021

VANGUARD MARKETING CORPORATION

BD
CRD#: 7452
CHARLOTTE, NC

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SF
SECONDMARKET FINANCIAL, LLC
SECONDMARKET FINANCIAL, LLC

CRD#: 333332 / SEC#: 801-131656

RIA
Registered Investment Advisory firm - (3/6/2025 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
New York
(5/4/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/1/2026
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 9/24/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 6/11/2025
Operations Professional Examination
General Industry/Product Exam
RR
Series 7TO
Date: 6/11/2025
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/19/2020
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

SF
SECONDMARKET FINANCIAL, LLC
SECONDMARKET FINANCIAL, LLC

CRD#: 333332 / SEC#: 801-131656

RIA
Registered Investment Advisory firm - (3/6/2025 Approved)
PREMIUM
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Contact information

Main Address
3 E 28th Street 7th Floor, New York, NY 10016
Mailing Address
Phone number
(646) 968-7000
Established
Firm type
Fiscal year end
# of Employees
19

SEC notice filing (1 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SECONDMARKET FINANCIAL, LLC ADV PART 2A (8/25/2025)

Regulatory assets under management

Total Number of Accounts20
AUM (Assets Under Management)$ 140,616,202

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

SECONDMARKET FINANCIAL, LLC

CRD#: 333332New York, NY 10016

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