Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Samuel? Claim Your ProfileSamuel Joseph Broom is a registered representative with Houlihan Lokey Capital, Inc. in Charlotte, North Carolina. Samuel has been in the industry for over 300 days. Samuel has passed the Series 63, Series 79TO, and SIE exams. Samuel is registered with the state of North Carolina. Samuel previously worked at 7M Securities, LLC.
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.
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NC
01/08/2024 - Present
Houlihan Lokey Capital, Inc. (Charlotte NC)
NC
10/23/2023 - 01/03/2024
7M SECURITIES, LLC (CHARLOTTE NC)
BC
Issued 08/14/2023
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/23/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 05/16/2023
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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