Samuel H. Brasher

THE PROFESSIONAL FINANCIAL COMPANY LLC

OREM, UT 84057

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CRD#: 7992291

Professional summary

Samuel H Brasher, who also goes by Samuel Brasher, is a registered financial advisor currently at THE PROFESSIONAL FINANCIAL COMPANY LLC located in Orem, Utah.

Samuel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2024. Samuel has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Samuel Brasher

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.

1. HELU CAPITAL; 12300 S. DRAPER, UT 84020; ACCOUNTANT; START 9/1/2024; APPROXIMATELY 20 HOURS/MONTH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Samuel H Brasher'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

February 14, 2025 - Present

THE PROFESSIONAL FINANCIAL COMPANY LLC

Office #1: 384 W Center St, Orem, UT 84057

RIA

CRD#: 286419

OREM, UT

Past

January 14, 2025 - January 29, 2025

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

SALT LAKE CITY, UT

Past

November 18, 2024 - January 29, 2025

EQUITABLE ADVISORS, LLC

CRD#: 6627

SALT LAKE CITY, UT

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".

THE PROFESSIONAL FINANCIAL COMPANY LLC

LEGACY WEALTH MANAGEMENT LLC | THE PROFESSIONAL FINANCIAL COMPANY LLC DBA PROFI DBA LEGACY WEALTH MANAGEMENT | THE PROFESSIONAL FINANCIAL COMPANY LLC

CRD#: 286419 / SEC#: 801-114491

RIA

Registered Investment Advisory firm - (1/28/2019 Approved)

Utah

Registered Investment Advisory firm - (2/1/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Texas
(2/14/2025)

IAR

Utah
(2/18/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/10/2025

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 11/18/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 9/18/2024

Securities Industry Essentials Examination

Current Firm

THE PROFESSIONAL FINANCIAL COMPANY LLC

LEGACY WEALTH MANAGEMENT LLC | THE PROFESSIONAL FINANCIAL COMPANY LLC DBA PROFI DBA LEGACY WEALTH MANAGEMENT | THE PROFESSIONAL FINANCIAL COMPANY LLC

CRD#: 286419 / SEC#: 801-114491

RIA

Registered Investment Advisory firm - (1/28/2019 Approved)

Utah

Registered Investment Advisory firm - (2/1/2019 Terminated)

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Contact information

Main Address

384 W Center St, Orem, UT 84057

Mailing Address

Phone number

(801) 701-2345

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A-THE PROFESSIONAL FINANCIAL COMPANY LLC (3/31/2025)

Regulatory assets under management

Total Number of Accounts	535
AUM (Assets Under Management)	$ 361,064,134

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.

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Samuel H. Brasher

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Samuel H Brasher's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE PROFESSIONAL FINANCIAL COMPANY LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

THE PROFESSIONAL FINANCIAL COMPANY LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/10/2025

Series 7TO

Date: 11/18/2024

SIE

Date: 9/18/2024

Current Firm

THE PROFESSIONAL FINANCIAL COMPANY LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THE PROFESSIONAL FINANCIAL COMPANY LLC

TRUST BUT VERIFY

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