Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Samuel? Claim Your ProfileSamuel Kozma is a financial advisor with over 15 years of experience in the industry. Samuel is currently registered with Charles Schwab & CO., Inc. and is based in Westlake, TX. Samuel has previously held positions with TD Ameritrade, Inc., Fidelity Brokerage Services LLC, and Morgan Keegan & Company, Inc. Samuel is a licensed securities agent and has passed multiple industry exams, including the Series 63, 66, 7TO, SIE and 7 exams. Samuel has been registered with the state of Texas since 2019.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
TX
03/22/2019 - Present
Charles Schwab & CO., Inc. (Westlake TX)
TX
02/19/2010 - 05/31/2016
TD AMERITRADE, INC. (FORT WORTH TX)
TX
07/16/2007 - 08/14/2009
FIDELITY BROKERAGE SERVICES LLC (WESTLAKE TX)
TX
11/23/2004 - 05/31/2007
MORGAN KEEGAN & COMPANY, INC. (FORT WORTH TX)
MN
02/18/2004 - 11/18/2004
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
BC
Issued 03/29/2019
Series 63 - Uniform Securities Agent State Law Examination
BOTH
Issued 12/30/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/29/2012
Series 24 - General Securities Principal Examination
BC
Issued 03/22/2019
Series 7TO - General Securities Representative Examination
BC
Issued 05/31/2016
SIE - Securities Industry Essentials Examination
BC
Issued 02/17/2004
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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