Samuel E. Smith
Professional summary
Samuel Eli Smith, who also goes by Samuel Smith, is a registered financial advisor currently at ALPHASTAR CAPITAL MANAGEMENT located in Lunenburg, Massachusetts.
Samuel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Samuel has worked at 2 firms and has passed the Series 66, SIE and Series 7TO exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Samuel Eli Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 21, 2025 - Present
ALPHASTAR CAPITAL MANAGEMENT
December 9, 2021 - February 7, 2024
THE O.N. EQUITY SALES COMPANY
Primary Firm SEC Registration
ALPHASTAR CAPITAL MANAGEMENT
CRD#: 157423 / SEC#: 801-72361
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(7/21/2025)
Exams
Series 7TO
Date: 2/4/2021
General Securities Representative ExaminationCurrent Firm
ALPHASTAR CAPITAL MANAGEMENT
CRD#: 157423 / SEC#: 801-72361
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,592 |
| AUM (Assets Under Management) | $ 1,841,154,148 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/12/2023 | ||
| 06/27/2023 | ||
| 01/24/2023 |
Red Flags
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