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RIA / WealthAdvisordual registered (broker-dealer)15 years in industry

Samantha Pezzute

Advisor at ALLWORTH FINANCIAL, L.P.

INDIANAPOLIS, IN | FOLSOM, CA

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Search this name across graphsid dfx:ria:e985ca54-9b29-143b-d323-484dd159010e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 3
On other graphs: 0
Observed: Sep 4, 2015 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: ALLWORTH FINANCIAL, L.P.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 1, 2011earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Nov 11, 2011
First registration: Sep 4, 2015
Dual registered: yes, broker-dealer
Other names: SAMANTHA LYNN WILDE|Samantha L Pezzute|SAMANTHA PEZZUTE|Samantha Lynn Pezzute|Samantha Wilde|Samantha Wilde|Samantha Pezzute
IAPD individual key: 5970623

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
ALLWORTH FINANCIAL, L.P.	Bd affiliated wealth	May 30, 2025	n/a	yes	FOLSOM, CA\|INDIANAPOLIS, IN	Current employment
SHEAFF BROCK INVESTMENT ADVISORS, LLC	Former SEC adviser	Nov 29, 2023	Sep 12, 2025	no	INDIANAPOLIS, IN	Previous registration
SALZINGER SHEAFF BROCK, LLC	Former SEC adviser	Nov 16, 2023	Oct 31, 2024	no	INDIANAPOLIS, IN	Previous registration
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	No RAUM reported	Jun 29, 2021	Oct 26, 2023	no	INDIANAPOLIS, IN	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Aug 31, 2018	Jun 22, 2021	no	INDIANAPOLIS, IN	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Sep 4, 2015	Jun 19, 2018	no	Indianapolis, IN	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
SHEAFF BROCK INVESTMENT ADVISORS, LLC	ALLWORTH FINANCIAL, L.P.	Sep 12, 2025	May 30, 2025	-105	Firm change after gap	RIA to ibd
SALZINGER SHEAFF BROCK, LLC	SHEAFF BROCK INVESTMENT ADVISORS, LLC	Oct 31, 2024	Nov 29, 2023	-337	Firm change after gap	RIA to RIA
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	SALZINGER SHEAFF BROCK, LLC	Oct 26, 2023	Nov 16, 2023	21	Firm change	Other
J.P. MORGAN SECURITIES LLC	NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	Jun 22, 2021	Jun 29, 2021	7	Firm change	Other
CHARLES SCHWAB & CO., INC.	J.P. MORGAN SECURITIES LLC	Jun 19, 2018	Aug 31, 2018	73	Firm change	Ibd to wirehouse

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
118739:111167:IN:2025-09-12	Sep 12, 2025	May 30, 2025	INDIANAPOLIS, IN	Firm change after gap

Relationships

Registered with (6)

→ ALLWORTH FINANCIAL, L.P.Registered adviserregistration: current employment
May 30, 2025 to presentfactForm ADV
→ SHEAFF BROCK INVESTMENT ADVISORS, LLCRegistered adviserregistration: previous registration
Nov 29, 2023 to Sep 12, 2025factForm ADV
→ SALZINGER SHEAFF BROCK, LLCRegistered adviserregistration: previous registration
Nov 16, 2023 to Oct 31, 2024factForm ADV
→ NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCRegistered adviserregistration: previous registration
Jun 29, 2021 to Oct 26, 2023factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Aug 31, 2018 to Jun 22, 2021factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Sep 4, 2015 to Jun 19, 2018factForm ADV

Dated events

Occurred
Sep 12, 2025
Advisor changed firm
Samantha Pezzute left Sheaff Brock Investment Advisors, Llc for Allworth Financial, L.P. (registered 2025-05-30)
Form ADVobserved 6 days ago
Occurred
Oct 31, 2024
Advisor changed firm
Samantha Pezzute left Salzinger Sheaff Brock, Llc for Sheaff Brock Investment Advisors, Llc (registered 2023-11-29)
Form ADVobserved 6 days ago
Occurred
Oct 26, 2023
Advisor changed firm
Samantha Pezzute left Northwestern Mutual Investment Services,Llc for Salzinger Sheaff Brock, Llc (registered 2023-11-16)
Form ADVobserved 6 days ago