Samuel N. Massey
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
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2006
Experience
November 19, 2013 - June 1, 2023
HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS
November 15, 2013 - May 25, 2023
LPL FINANCIAL LLC
June 24, 2009 - November 20, 2013
HOUSEHOLDER GROUP FINANCIAL ADVISORS, LLC
June 22, 2009 - November 15, 2013
SECURITIES SERVICE NETWORK, LLC
October 31, 2005 - June 24, 2009
OSAIC SERVICES, INC.
June 21, 2004 - June 24, 2009
HOUSEHOLDER GROUP, ESTATE & RETIREMENT SPECIALISTS
June 1, 2004 - October 31, 2005
SUNAMERICA SECURITIES, INC.
February 17, 2004 - May 28, 2004
CETERA WEALTH SERVICES, LLC
February 11, 2004 - May 28, 2004
CETERA WEALTH SERVICES, LLC
October 7, 2002 - January 5, 2004
UMB FINANCIAL SERVICES, INC.
July 25, 2002 - January 5, 2004
UMB FINANCIAL SERVICES, INC.
September 29, 1999 - August 16, 2002
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
August 13, 1997 - September 10, 1999
GUARANTY BROKERAGE SERVICES, INC.
July 1, 1996 - August 5, 1997
NATIONWIDE INVESTMENT SERVICES CORPORATION
June 16, 1989 - July 1, 1996
FINANCIAL HORIZONS SECURITIES CORPORATION
September 16, 1986 - July 13, 1989
BMA FINANCIAL SERVICES, INC.
September 24, 1984 - November 5, 1985
ALEX. BROWN & SONS INCORPORATED
January 7, 1981 - October 11, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 29, 1980 - February 7, 1981
E. F. HUTTON & COMPANY INC
February 24, 1978 - June 29, 1980
MORGAN STANLEY DW INC.
April 21, 1977 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS
CRD#: 169045 / SEC#: 801-78565
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,804 |
| AUM (Assets Under Management) | $ 277,447,180 |
Red Flags
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