Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sam? Claim Your ProfileSam Kazdal is a financial professional with over 15 years of experience in the financial services industry. Sam is currently a Registered Representative with Bofa Securities, Inc. Sam's previous roles include positions with Merrill Lynch, Pierce, Fenner & Smith Incorporated, Nomura Securities International, Inc., Nomura Securities North America, LLC, and J.P. Morgan Securities Inc. Sam has a strong background in investment banking, and holds the Series 7, Series 10, Series 24, and Series 79TO licenses. Sam is registered in Colorado and Texas.
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.
Research-related services
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.
Negotiated fees for research-related services
1
2
CO
05/10/2019 - Present
Bofa Securities, Inc. (DENVER CO)
TX
08/27/2013 - 05/10/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (HOUSTON TX)
TX
02/01/2010 - 07/24/2013
NOMURA SECURITIES INTERNATIONAL, INC. (HOUSTON TX)
NY
03/23/2010 - 08/09/2011
NOMURA SECURITIES NORTH AMERICA, LLC (NEW YORK NY)
NY
10/01/2008 - 02/27/2009
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
09/10/2007 - 10/01/2008
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
BC
Issued 09/12/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/03/2017
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/08/2007
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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