Samuel D. Simpson

CAPITAL SQUARE

Waco, TX 76710

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CRD#: 835124

Professional summary

Samuel Douglas Simpson, CFP® is a registered financial advisor currently at CAPITAL SQUARE, LLC located in Waco, Texas.

Samuel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1981. Samuel has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 1 exams.

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.

Name of business is Sam Simpson which is involved in the acquisition, management, development, and leasing and sale of real estate as an investment for fun and profit. Time spent averages two hours per month. There are no employees. Address is my residence in Waco. I am the owner and manager. Business began in 1983.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Samuel Douglas Simpson'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®

CFP^®

Certified Financial Planner

Start date: 1988

Experience

Current

January 6, 2017 - Present

CAPITAL SQUARE, LLC

Office #1: 5006 Lakeland Circle Suite 101, Waco, TX 76710

RIA

CRD#: 286098

Waco, TX

Past

August 25, 2015 - January 3, 2017

BELLWETHER INVESTMENT GROUP, LLC

RIA

CRD#: 148114

CHATTANOOGA, TN

Past

June 1, 2009 - August 24, 2015

MORGAN STANLEY

RIA

CRD#: 149777

FT. WORTH, TX

Past

June 1, 2009 - August 24, 2015

MORGAN STANLEY

CRD#: 149777

FT. WORTH, TX

Past

July 31, 1993 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

FT. WORTH, TX

Past

July 31, 1993 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

FT. WORTH, TX

Past

May 14, 1988 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

August 25, 1981 - May 14, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

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".

CAPITAL SQUARE, LLC

CAPITAL SQUARE, LLC | WELLSPRING ADVISORS, LLC | TOWN SQUARE CONSULTING, LLC

CRD#: 286098 / SEC#: 801-108796

RIA

Registered Investment Advisory firm - (12/16/2016 Approved)

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

Arizona
(1/24/2017)

IAR

Louisiana
(7/8/2020)

IAR

Texas
(1/6/2017)

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 65

Date: 6/10/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/11/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/24/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/15/1981

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 3/15/1977

Registered Representative Examination

Current Firm

CAPITAL SQUARE, LLC

CAPITAL SQUARE, LLC | WELLSPRING ADVISORS, LLC | TOWN SQUARE CONSULTING, LLC

CRD#: 286098 / SEC#: 801-108796

RIA

Registered Investment Advisory firm - (12/16/2016 Approved)

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Contact information

Main Address

1 West College St Suite 4, Athens, TN 37303

Mailing Address

Phone number

(423) 877-6708

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2 2025 (3/10/2025)

Regulatory assets under management

Total Number of Accounts	685
AUM (Assets Under Management)	$ 393,648,522

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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Firm Stability Insights

Samuel D. Simpson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Samuel Douglas Simpson's CRS (Customer Relationship Summary).

Certified licenses

Experience

BELLWETHER INVESTMENT GROUP, LLC

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

Primary Firm SEC Registration

CAPITAL SQUARE, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/10/1992

Series 63

Date: 9/11/1981

SIE

Date: 8/24/2015

Series 7

Date: 8/15/1981

Series 1

Date: 3/15/1977

Current Firm

CAPITAL SQUARE, LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAPITAL SQUARE, LLC

TRUST BUT VERIFY

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