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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sam? Claim Your ProfileSam Farhan is a financial advisor with Fidelity Personal And Workplace Advisors. Sam has been in the industry since January 28, 2018. Sam holds Series 6, 7, 63, 65, and 66 licenses. Sam is registered in 52 states and territories, and also holds a Uniform Investment Adviser Law Examination for the state of Texas. Sam's previous experience includes positions at TD Ameritrade, Merrill Lynch, Pierce, Fenner & Smith Incorporated, U.S. Bancorp Investments, Inc., and J.P. Morgan Securities LLC. Sam specializes in providing financial planning, educational seminars, and portfolio management services to individuals, businesses, and pooled investment vehicles.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
CA
06/12/2024 - Present
Fidelity Personal AND Workplace Advisors (EL CAJON CA)
NY
10/12/2023 - 05/14/2024
VCEXPRESS FINANCIAL LTD (PORT JEFFERSON STA NY)
CA
08/08/2018 - 05/14/2020
TD AMERITRADE, INC. (SAN DIEGO CA)
CA
09/09/2015 - 11/30/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (EL CAJON CA)
CA
07/21/2014 - 07/29/2015
U.S. BANCORP INVESTMENTS, INC. (EL CAJON CA)
CA
11/20/2012 - 07/30/2014
J.P. MORGAN SECURITIES LLC (EL CAJON CA)
IA
Issued 08/02/2024
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 11/30/2023
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/11/2013
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/12/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 04/16/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/26/2015
Series 7 - General Securities Representative Examination
BC
Issued 11/19/2012
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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