SM
Samuel C. Muffly
SM CARLTON ADVISORY
Astoria, NY
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CRD#: 7283733
SM
Professional summary
Samuel Carlton Muffly is a registered financial advisor currently at SM CARLTON ADVISORY located in Astoria, New York.
Samuel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Samuel has worked at 1 firm and has passed the Series 65 exam.
Question & Answer
Are you a "fiduciary"?
Yes
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.
NorthwelL Health Foundation. This organization is not investment related. The address is 2000 Marcus Avenue, New Hyde Park, NY 11042 The Northwell Health Foundation is the philanthropic arm of Northwell Heath, which is a nonprofit hospital system My position is Special Gifts Officer for the Cohen Children's Medical Center There is no relationship to SM Carlton Advisory I work full-time at the Northwell Health Foundation, from 9am to 5pm, which is 40 hours per week and 160 hours per month. My role at SM Carlton Advisory is in addition to my paid time working at the Northwell Health Foundation. All of my clients know and understand that I have a full-time job working for the Northwell Health Foundation.
CRS (Client Relationship Summary) - RIA
Click below to view Samuel Carlton Muffly's 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®
NoneExperience
Current
October 26, 2021 - Present
SM CARLTON ADVISORY
RIA
CRD#: 310381
Astoria, NY
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(10/26/2021)
Current Firm
SC
SM CARLTON ADVISORY
SM CARLTON ADVISORY | SM CARLTON ADVISORY LLC
CRD#: 310381 / SEC#:
New York
Registered Investment Advisory firm - (10/20/2020 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
Astoria, NY
Mailing Address
Phone number
(914) 309-8857
Established
Firm type
Fiscal year end
# of Employees
1
Regulatory assets under management
| Total Number of Accounts | 17 |
| AUM (Assets Under Management) | $ 1,850,000 |
Red Flags
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