Samuel J. Iacino
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 Joseph Iacino was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 1979. Samuel had worked at 8 firms and has passed the Series 63, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 1999 - June 25, 1999
NATCITY INSURANCE SERVICES, INC.
August 3, 1998 - January 4, 1999
IFMG SECURITIES, INC.
May 21, 1998 - August 3, 1998
INDEPENDENT FINANCIAL SECURITIES, INC.
September 19, 1997 - June 25, 1999
NATCITY INVESTMENTS, INC.
June 16, 1997 - September 24, 1997
OSAIC WEALTH, INC.
September 13, 1979 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
September 13, 1979 - May 7, 1996
IDS LIFE INSURANCE COMPANY
September 13, 1979 - May 7, 1996
AMERIPRISE FINANCIAL SERVICES, LLC
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
Series 1
Date: 9/4/1979
Registered Representative ExaminationCurrent Firm
NATCITY INSURANCE SERVICES, INC.
CRD#: 16989 / SEC#: , 8-34901
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL CITY BANK, MICHIGAN | OWNER | |
| BAILEY, SCOTT LEROY | ASSISTANT VICE PRESIDENT | 1475638 |
| BEER, JOHN P | CONTROLLER/FIN. PRIN. | 2690397 |
| BONNELL, PETER JOSEPH III | SENIOR VICE PRESIDENT | 1213039 |
| LARKMAN, WILLIAM PATRICK | COMPLIANCE DIRECTOR | 2745689 |
| LYDEN, E EARL | VICE PRESIDENT/TREASURER | 1391004 |
| PLANT, THOMAS A | SECRETARY | |
| SMITH, STEPHEN LEE | ASSISTANT SECRETARY |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
