Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Samuel? Claim Your ProfileSamuel Chapin is a financial advisor with over 20 years of experience in the industry. Samuel currently works at Rockefeller Financial LLC in New York, NY. Prior to working at Rockefeller Financial, Samuel was employed by AXIOM CAPITAL MANAGEMENT, INC., MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED and BANC OF AMERICA SECURITIES LLC. Samuel has passed a number of industry licensing exams including the Series 63, Series 24, Series 79TO, SIE, and Series 7. Samuel is registered with the state of Connecticut, New Jersey and New York.
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.
Guidance on pension options to ensure a secure financial future.
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
NY
01/17/2019 - Present
Rockefeller Financial LLC (New York NY)
NY
09/13/2018 - 11/14/2018
AXIOM CAPITAL MANAGEMENT, INC. (NEW YORK NY)
NY
03/25/2010 - 07/05/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
03/25/2010 - 11/01/2010
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
NY
12/09/1996 - 07/20/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BC
Issued 03/02/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/01/1997
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 12/06/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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