GS
Gene R. Samit
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CRD#: 823659
GS
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.
Gene R Samit was a registered financial professional .
Gene is a previously registered financial professional and started their career in finance in 1976. Gene had worked at 18 firms and has passed the Series 63, Series 5, Series 7, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
February 21, 2012 - April 25, 2012
CUSO FINANCIAL SERVICES, L.P.
BD
CRD#: 42132
JENKINTOWN, PA
Past
August 26, 2011 - February 3, 2012
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
JENKINTOWN, PA
Past
October 26, 2010 - August 29, 2011
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
ELKINS PARK, PA
Past
March 30, 2006 - July 21, 2008
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
PLANTATION, FL
Past
May 5, 2004 - February 27, 2006
WAMU INVESTMENTS, INC.
BD
CRD#: 599
BOYNTON BEACH, FL
Past
November 4, 2002 - June 5, 2003
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
NAPA, CA
Past
July 15, 1999 - October 17, 2002
HIMCO DISTRIBUTION SERVICES COMPANY
BD
CRD#: 6604
HARTFORD, CT
Past
January 12, 1998 - January 20, 1999
DIME SECURITIES, INC.
BD
CRD#: 28955
BROOKLYN, NY
Past
August 19, 1994 - December 31, 1997
SIGNATOR FINANCIAL SERVICES, INC.
BD
CRD#: 19061
BOSTON, MA
Past
July 15, 1992 - August 22, 1994
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
Past
October 26, 1989 - December 14, 1990
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
Past
September 14, 1988 - February 1, 1989
WILMINGTON BROKERAGE SERVICES COMPANY
BD
CRD#: 14942
Past
February 8, 1988 - October 17, 1989
RODNEY SQUARE DISTRIBUTORS, INC.
BD
CRD#: 18847
WILMINGTON, DE
Past
December 1, 1982 - December 14, 1990
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
APPLETON, WI
Past
December 1, 1980 - July 23, 1982
LEHMAN BROTHERS INC.
BD
CRD#: 7506
Past
January 31, 1980 - December 28, 1980
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
Past
November 30, 1979 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
BD
CRD#: 640
Past
September 26, 1978 - January 2, 1980
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
Past
June 24, 1976 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
BD
CRD#: 572
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".
CF
CUSO FINANCIAL SERVICES, L.P.
CUSO FINANCIAL SERVICES | CUSO FINANCIAL SERVICES, LTD. | CUSO FINANCIAL SERVICES, L.P.
CRD#: 42132 / SEC#: 801-60300, 8-49711
RIA
Registered Investment Advisory firm - SEC (5/31/2001 Approved)Alaska
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)California
Registered Investment Advisory firm - SEC (5/31/2001 Terminated)Colorado
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Florida
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/8/2001 Terminated)Louisiana
Registered Investment Advisory firm - SEC (10/2/2001 Terminated)Maryland
Registered Investment Advisory firm - SEC (6/11/2001 Terminated)Michigan
Registered Investment Advisory firm - SEC (12/4/2001 Terminated)Minnesota
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Missouri
Registered Investment Advisory firm - SEC (5/31/2001 Terminated)Nevada
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)New Jersey
Registered Investment Advisory firm - SEC (10/12/2006 Terminated)New Mexico
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Ohio
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Tennessee
Registered Investment Advisory firm - SEC (7/6/2001 Terminated)Texas
Registered Investment Advisory firm - SEC (7/12/2001 Terminated)Virginia
Registered Investment Advisory firm - SEC (6/7/2001 Terminated)Washington
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 5
Date: 10/17/1981
Interest Rate Options ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
CF
CUSO FINANCIAL SERVICES, L.P.
CUSO FINANCIAL SERVICES | CUSO FINANCIAL SERVICES, LTD. | CUSO FINANCIAL SERVICES, L.P.
CRD#: 42132 / SEC#: 801-60300, 8-49711
RIA
Registered Investment Advisory firm - SEC (5/31/2001 Approved)Alaska
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)California
Registered Investment Advisory firm - SEC (5/31/2001 Terminated)Colorado
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Florida
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/8/2001 Terminated)Louisiana
Registered Investment Advisory firm - SEC (10/2/2001 Terminated)Maryland
Registered Investment Advisory firm - SEC (6/11/2001 Terminated)Michigan
Registered Investment Advisory firm - SEC (12/4/2001 Terminated)Minnesota
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Missouri
Registered Investment Advisory firm - SEC (5/31/2001 Terminated)Nevada
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)New Jersey
Registered Investment Advisory firm - SEC (10/12/2006 Terminated)New Mexico
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Ohio
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Tennessee
Registered Investment Advisory firm - SEC (7/6/2001 Terminated)Texas
Registered Investment Advisory firm - SEC (7/12/2001 Terminated)Virginia
Registered Investment Advisory firm - SEC (6/7/2001 Terminated)Washington
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
10150 Meanley Drive 1st Floor 1st Floor, San Diego, CA, 92131
Mailing Address
10150 Meanley Drive 1st Floor, San Diego, CA, 92131
Phone number
(858) 530-4400
Established
California since 11/07/1996
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees
791
SEC notice filing (53 States and Territories)
FINRA licenses (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 29,354 |
| AUM (Assets Under Management) | $ 5,378,345,125 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/27/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
