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FIRM PROFILE
Overview
SAMI BROKERAGE LLC is located at 2 High Ridge Park 2nd Floor, Stamford, CT 06905 and was first established at Boston, Delaware in 11/09/2018. After operating for 7 years, SAMI BROKERAGE LLC has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of SAMI BROKERAGE LLC’s clients are individuals and 0% of their clients are high net worth individuals. SAMI BROKERAGE LLC has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at SAMI BROKERAGE LLC are registered to handle securities or provide financial advice. The firm has 1 disclosures, 1 being regulatory events, 0 being client events, and 0 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access SAMI BROKERAGE LLC‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at SAMI BROKERAGE LLC. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.
Where the Statistical Data for SAMI BROKERAGE LLC Comes From
Understanding the Statistics for SAMI BROKERAGE LLC and How They Compare to Other Firms Through Our Analysis
Total Client Assets:
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FIRM INFORMATION
2 High Ridge Park 2nd Floor, Stamford, CT 06905
2 High Ridge Park 2nd Floor, Stamford, CT 06905
Small
(203) 322-0189
Delaware since 11/09/2018
Limited Liability Company
December
FIRM DOCUMENTS
Part 2 Brochures
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | CRD# |
|---|---|---|---|
| SPECTRUM ASSET MANAGEMENT, INC. | 100% OWNER | ||
| BYER, MATTHEW ROSS | CHIEF INFORMATION SECURITY OFFICER | 3120607 | |
| HANCZOR, JOSEPH ANDREW | CHIEF COMPLIANCE OFFICER | 5200684 | |
| JACOBY, LEWIS PHILLIP IV | HEAD OF TRADING | 1238147 | |
| LIEB, MARK ALAN | PRESIDENT | 853490 | |
| ORLANDO, JEAN MARIE | FINANCIAL OPERATIONS PRINCIPAL & CHIEF FINANCIAL OFFICER | 1197909 |
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Advisor's working at SAMI BROKERAGE LLC
Steven Jay Solmonson
Kevin Obrien Nugent
Andrew Dean Purdy
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