Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Samuel? Claim Your ProfileSamuel Bates has been in the financial services industry since 1999 and is currently registered with Lion Street Financial, LLC. Samuel has worked with MML Investors Services, LLC, NFP Advisor Services, LLC and NYLIFE Securities Inc.. Samuel is licensed in Arkansas, Florida, Georgia, Mississippi and Texas and holds the Series 6, Series 63 and SIE licenses.
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
TX
05/17/2024 - Present
Lion Street Financial, LLC (AUSTIN TX)
MS
04/28/2015 - 06/03/2022
MML INVESTORS SERVICES, LLC (JACKSON MS)
MS
05/07/2001 - 04/30/2015
NFP ADVISOR SERVICES, LLC (JACKSON MS)
NY
08/13/1997 - 04/16/2001
NYLIFE SECURITIES INC. (NEW YORK NY)
BC
Issued 07/29/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/12/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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