Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Samuel? Claim Your ProfileSamuel Phillip Smith is a licensed securities professional with over 25 years of experience in the financial services industry. Samuel is currently registered with Smbc Nikko Securities America, Inc. in New York, NY. Samuel is a licensed Series 6, 7, 63, and SIE representative. Samuel is registered with the Financial Industry Regulatory Authority (FINRA) and is also registered in 51 states.
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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2
NY
10/17/2023 - Present
Smbc Nikko Securities America, Inc. (NEW YORK NY)
MN
07/25/1997 - 10/03/1997
FORTIS INVESTORS, INC. (OAKDALE MN)
BC
Issued 10/31/2023
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/17/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/09/2023
SIE - Securities Industry Essentials Examination
BC
Issued 07/18/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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