Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sam? Claim Your ProfileSam Humphries is a financial professional with experience in the securities industry. Sam is currently registered with Mufg Securities Americas Inc. and holds Series 7TO, Series 63, and SIE licenses. Sam is licensed in all states. Sam has been in the industry since November 2020.
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.
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.
1
2
NY
11/24/2020 - Present
Mufg Securities Americas Inc. (NEW YORK NY)
BC
Issued 03/12/2021
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/24/2020
Series 7TO - General Securities Representative Examination
BC
Issued 10/10/2020
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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