Sam A. Kayem
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.
Sam Adatto Kayem was a registered financial professional .
Sam is a previously registered financial professional and started their career in finance in 1981. Sam had worked at 2 firms and has passed the Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 21, 2009 - March 29, 2017
LEO BROKERAGE, LLC
May 19, 2009 - March 29, 2017
LEO BROKERAGE, LLC
September 28, 2004 - May 13, 2009
UBS FINANCIAL SERVICES INC.
September 28, 2004 - May 13, 2009
UBS FINANCIAL SERVICES INC.
August 23, 1983 - September 23, 2004
UBS FINANCIAL SERVICES INC.
March 23, 1981 - September 23, 2004
UBS FINANCIAL SERVICES INC.
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 8
Date: 10/3/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
LEO BROKERAGE, LLC
CRD#: 109121 / SEC#: 801-57022, 8-53487
Contact information
FINRA licenses (13 States and Territories)
Disclosures
| Regulatory Event | 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.
