SM
Samuel C. Munhollon
TOTAL WEALTH PLANNING AND MANAGEMENT
OKLAHOMA CITY, OK 73112
Some features on this profile are disabled
CRD#: 813056
SM
Professional summary
Samuel Clifford Munhollon, who also goes by Sam C Munhollon, is a registered financial advisor currently at TOTAL WEALTH PLANNING AND MANAGEMENT, INC. located in Oklahoma City, Oklahoma.
Samuel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1975. Samuel has worked at 11 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 15, Series 3, Series 5, PC, Series 7, Series 24 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sam C Munhollon
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) Lt. Governor's Invitational Turkey Hunt Committee, not investment related, promotion of state attributes and business opportunities to businesses who are contemplating starting, expanding or relocating to the State of Oklahoma, Oklahoma City, OK, Committee Member, 2/1994, 2-6 hours per month, zero hours during trading hours, assist in planning of event activities, inviting corporate executives to attend event, soliciting funds to cover event expenses. 2) Oklahoma Station Chapter Safari Club International, not investment related, wildlife conservation, education of the public, humanitarian efforts, protection of hunter's rights, Oklahoma City, OK, Education Representative, Member of the Board of Directors, 7.1981, 2- 12 hours per month, 1-2 hours during trading hours, support all youth programs, help determine funding and charitable donations from fund raising activities primarily from the annual banquet and auction. 3) Oklahoma Wildlife Management Association, not investment related, promote legislation that is conductive to youth education, wildlife conservation and landowners rights, Norman, OK, First Vice President, 3/1998, 2- 4 hours per month, zero hours during trading hours, promote or advocate for legislation that benefits wildlife, landowner rights, education of youth or advocate against legislation that detracts from same and advise on business affairs. 4) Sky Dance Bridge Business Professionals, not investment related, business networking through LinkedIn, Owner, 1/2016, 8 hours per month, 2 hours per week during trading hours, provide and host networking events, recognize members anniversary dates, promotions, and achievements, communicate community activities, develop business relations.
CRS (Client Relationship Summary) - RIA
Click below to view Samuel Clifford Munhollon'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 12, 2021 - Present
TOTAL WEALTH PLANNING AND MANAGEMENT, INC.
Office #1: 3030 Nw Expressway Suite 1800, Oklahoma City, OK 73112RIA
CRD#: 166664
OKLAHOMA CITY, OK
Past
July 29, 2021 - October 22, 2021
CABOT LODGE SECURITIES LLC
BD
CRD#: 159712
Oklahoma City, OK
Past
July 16, 2021 - October 1, 2021
VISTA INVESTMENT PARTNERS LLC
RIA
CRD#: 286014
OKLAHOMA CITY, OK
Past
July 29, 2004 - July 16, 2021
HILLTOP SECURITIES INC.
RIA
CRD#: 6220
OKLAHOMA CITY, OK
Past
July 29, 2004 - July 16, 2021
HILLTOP SECURITIES INC.
BD
CRD#: 6220
OKLAHOMA CITY, OK
Past
May 15, 1992 - August 6, 2004
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
EDMOND, OK
Past
July 2, 1987 - August 6, 2004
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
June 26, 1984 - July 31, 1987
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
Past
February 25, 1983 - June 19, 1984
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
Past
December 8, 1981 - March 11, 1983
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
Past
July 18, 1979 - November 9, 1981
STIX & CO., INC.
BD
CRD#: 3516
Past
December 15, 1978 - July 18, 1979
ADAMS, JAMES, ABARR & COMPANY, INC.
BD
CRD#: 7517
Past
October 1, 1975 - December 18, 1978
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
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".
TW
TOTAL WEALTH PLANNING AND MANAGEMENT, INC.
TOMES WEALTH PLANNING AND MANAGEMENT, INC. | TOTAL WEALTH PLANNING AND MANAGEMENT, INC.
CRD#: 166664 / SEC#: 801-113167
RIA
Registered Investment Advisory firm - (5/3/2018 Approved)California
Registered Investment Advisory firm - (6/3/2018 Terminated)Florida
Registered Investment Advisory firm - (5/4/2018 Terminated)New Jersey
Registered Investment Advisory firm - (5/25/2018 Terminated)New York
Registered Investment Advisory firm - (5/4/2018 Terminated)Pennsylvania
Registered Investment Advisory firm - (5/7/2018 Terminated)Texas
Registered Investment Advisory firm - (5/4/2018 Terminated)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
Oklahoma(10/12/2021)
IAR
Texas(10/12/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/5/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 4/18/1984
Foreign Currency Options ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 7/29/1982
Interest Rate Options ExaminationGeneral Industry/Product Exam
RR
PC
Date: 8/23/1977
AMEX Put and Call ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
TW
TOTAL WEALTH PLANNING AND MANAGEMENT, INC.
TOMES WEALTH PLANNING AND MANAGEMENT, INC. | TOTAL WEALTH PLANNING AND MANAGEMENT, INC.
CRD#: 166664 / SEC#: 801-113167
RIA
Registered Investment Advisory firm - (5/3/2018 Approved)California
Registered Investment Advisory firm - (6/3/2018 Terminated)Florida
Registered Investment Advisory firm - (5/4/2018 Terminated)New Jersey
Registered Investment Advisory firm - (5/25/2018 Terminated)New York
Registered Investment Advisory firm - (5/4/2018 Terminated)Pennsylvania
Registered Investment Advisory firm - (5/7/2018 Terminated)Texas
Registered Investment Advisory firm - (5/4/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
Ponte Vedra, FL
Mailing Address
Po Box 859, Ponte Vedra Beach, FL 32004
Phone number
(866) 568-0003
Established
Firm type
Fiscal year end
# of Employees
9
SEC notice filing (10 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,264 |
| AUM (Assets Under Management) | $ 203,935,965 |
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.
