Samuel N. Massey
Some features on this profile are disabled
CRD#: 836720
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.
Samuel Nick Massey, CFP®, who also goes by Nick Massey, was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 1977. Samuel had worked at 19 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
What are your service offerings?
Insurance Planning
Investment Planning
Comprehensive Financial Planni...
Retirement Planning
Estate Planning
How do you get paid?
Commission and Fee
Are you a "fiduciary"?
No
Aliases
Nick Massey
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) 11/15/2013: Householder Group Estate & Retirement Specialists - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Time Spent 25%. (2) 11/15/2013: Massey Financial Services - Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - 100% Time Spent - Owner - for accounting purposes only. (3) 11/15/2013: Householder Group - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - 5% Time Spent - Agent. (4) 12/23/2013: Householder Group Estate & Retirement Specialists - DBA: Householder Group Financial Advisors, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - 70% Time Spent - IAR. (5) 03/11/2015: Edmond Sun Business Times - Investment Related - 123 S. Broadway, Edmond, OK 73034 - Other-Author - Started 01/01/2009 - Investment Related - 123 S. Broadway, Edmond, OK 73034 - Start 01/01/2009 - 2 Hours Per Month/0 Hours During Securities Trading - Monthly columnist, receive no compensation. (6) 10/19/2016: Householder Group Estate and Retirement Specialist - DBA: Massey Financial Services - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 10/14/16 - 160 Hours Per Month/150 Hours During Securities Trading - Financial planning services, securities accounts (managed), annuities. (7) 11/2/2016 - Massey Financial Services, LLC - DBA: Massey Financial Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 10/14/16 - 160 Hours Per Month/150 Hours During Securities Trading. (8) 5/15/2018 - Householder Group Estate & Retirement Specialists, LLC - Investment Related - At Reported Business Locations(s) - Registered Investment Advisor Hybrid - IAR - Start Date: 11/2013 - I provide investment advisory services through Householder Group Estate & Retirement Specialists, an independent investment advisor firm. I started this business activity in 11/2013. I expect to spend approximately 1 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. (9) 9/14/2018 - No Business Name - Not Investment Related - Various music venues in Oklahoma, primarily the Oklahoma City metro area. - Musician - Start Date: 08/04/2018 - 6 Hours Per Month/0 Hours During Securities Trading - Play guitar and sing at various small venues such as clubs, bars, restaurants and coffee shops.
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®
CFP®
Start date: 2006
Experience
Past
November 19, 2013 - June 1, 2023
HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS
RIA
CRD#: 169045
EDMOND, OK
Past
November 15, 2013 - May 25, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
EDMOND, OK
Past
June 24, 2009 - November 20, 2013
HOUSEHOLDER GROUP FINANCIAL ADVISORS, LLC
RIA
CRD#: 149564
EDMOND, OK
Past
June 22, 2009 - November 15, 2013
SECURITIES SERVICE NETWORK, LLC
BD
CRD#: 13318
EDMOND, OK
Past
October 31, 2005 - June 24, 2009
OSAIC SERVICES, INC.
BD
CRD#: 133763
EDMOND, OK
Past
June 21, 2004 - June 24, 2009
HOUSEHOLDER GROUP, ESTATE & RETIREMENT SPECIALISTS
RIA
CRD#: 107773
EDMOND, OK
Past
June 1, 2004 - October 31, 2005
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
February 17, 2004 - May 28, 2004
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EDMOND, OK
Past
February 11, 2004 - May 28, 2004
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
Past
October 7, 2002 - January 5, 2004
UMB FINANCIAL SERVICES, INC.
RIA
CRD#: 17073
OKLAHOMA CITY, OK
Past
July 25, 2002 - January 5, 2004
UMB FINANCIAL SERVICES, INC.
BD
CRD#: 17073
KANSAS CITY, MO
Past
September 29, 1999 - August 16, 2002
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 5496
WELLESLEY HILLS, MA
Past
August 13, 1997 - September 10, 1999
GUARANTY BROKERAGE SERVICES, INC.
BD
CRD#: 23302
ST. CLOUD, MN
Past
July 1, 1996 - August 5, 1997
NATIONWIDE INVESTMENT SERVICES CORPORATION
BD
CRD#: 7110
COLUMBUS, OH
Past
June 16, 1989 - July 1, 1996
FINANCIAL HORIZONS SECURITIES CORPORATION
BD
CRD#: 20221
Past
September 16, 1986 - July 13, 1989
BMA FINANCIAL SERVICES, INC.
BD
CRD#: 7943
KANSAS CITY, MO
Past
September 24, 1984 - November 5, 1985
ALEX. BROWN & SONS INCORPORATED
BD
CRD#: 20
Past
January 7, 1981 - October 11, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
Past
May 29, 1980 - February 7, 1981
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
Past
February 24, 1978 - June 29, 1980
MORGAN STANLEY DW INC.
BD
CRD#: 7556
Past
April 21, 1977 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
BD
CRD#: 6466
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".
HG
HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS
AMERICAN FINANCIAL SERVICES | TAX AND INVESTMENT ADVOCATES | STREFF FINANCIAL GROUP | RUSSO FINANCIAL MANAGEMENT | RIDLEY WEALTH STRATEGIES | NICKELS WEALTH MANAGEMENT | MONEY AND MINDFULNESS | MASSEY FINANCIAL SERVICES, LLC DBA MASSEY FINANCIAL SERVICES | LUNCEFORD PRIVATE WEALTH MANAGEMENT | L.H. NICKELS WEALTH MANAGEMENT | KIDWELL & COMPANY, INC | KAVE FAMILY FINANCIAL | KAVE FAMILY INSURANCE | IRA SPECIALISTS | HOUSEHOLDER GROUP OF TEXAS | HOUSEHOLDER GROUP OF ORANGE COUNTY | HOUSEHOLDER GROUP OF NEW MEXICO | HOUSEHOLDER GROUP OF DENVER | HOUSEHOLDER GROUP OF COLORADO SPRINGS | HOUSEHOLDER GROUP FINANCIAL ADVISORS | HOUSEHOLDER GROUP ESTATE AND RETIREMENT SPECIALIST, LLC | HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS | HOUSEHOLDER GROUP DFW | HOUSEHOLDER GROUP COACHELLA VALLEY | HOUSEHOLDER GROUP ANTELOPE VALLEY | HOUSEHOLDER FINANCIAL ADVISORS LLC | HILL FINANCIAL PLANNING | HERITAGE WEALTH MANAGEMENT | CICHON FINANCIAL SERVICES
CRD#: 169045 / SEC#: 801-78565
RIA
Registered Investment Advisory firm - (9/20/2013 Approved)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
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
HG
HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS
AMERICAN FINANCIAL SERVICES | TAX AND INVESTMENT ADVOCATES | STREFF FINANCIAL GROUP | RUSSO FINANCIAL MANAGEMENT | RIDLEY WEALTH STRATEGIES | NICKELS WEALTH MANAGEMENT | MONEY AND MINDFULNESS | MASSEY FINANCIAL SERVICES, LLC DBA MASSEY FINANCIAL SERVICES | LUNCEFORD PRIVATE WEALTH MANAGEMENT | L.H. NICKELS WEALTH MANAGEMENT | KIDWELL & COMPANY, INC | KAVE FAMILY FINANCIAL | KAVE FAMILY INSURANCE | IRA SPECIALISTS | HOUSEHOLDER GROUP OF TEXAS | HOUSEHOLDER GROUP OF ORANGE COUNTY | HOUSEHOLDER GROUP OF NEW MEXICO | HOUSEHOLDER GROUP OF DENVER | HOUSEHOLDER GROUP OF COLORADO SPRINGS | HOUSEHOLDER GROUP FINANCIAL ADVISORS | HOUSEHOLDER GROUP ESTATE AND RETIREMENT SPECIALIST, LLC | HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS | HOUSEHOLDER GROUP DFW | HOUSEHOLDER GROUP COACHELLA VALLEY | HOUSEHOLDER GROUP ANTELOPE VALLEY | HOUSEHOLDER FINANCIAL ADVISORS LLC | HILL FINANCIAL PLANNING | HERITAGE WEALTH MANAGEMENT | CICHON FINANCIAL SERVICES
CRD#: 169045 / SEC#: 801-78565
RIA
Registered Investment Advisory firm - (9/20/2013 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
8985 E. Bell Road, Scottsdale, AZ 85260
Mailing Address
Phone number
(602) 604-0600
Established
Firm type
Fiscal year end
# of Employees
25
SEC notice filing (38 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,804 |
| AUM (Assets Under Management) | $ 277,447,180 |
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.
