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Registered advisor
S••••• S•••••••
Feed of 09/14/2026
Also filed as Sam S•••••••
At current firm
1 y
since Mar 31, 2025
In the industry
22 y
since Apr 1, 2004 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Pearland, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• formerNov 26, 2021 to Mar 31, 2025 · Friendswood, Tx
- V••••••• A•••••••• I••• BD affiliatedAug 30, 2021 to Oct 22, 2021 · Scottsdale, Az
- T• A••••••••• I••• formerFeb 27, 2018 to Jan 11, 2021 · Webster, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 26, 2018 to Dec 31, 2020 · Omaha, Ne
- S•••••••• I••••••••• M••••••••• formerFeb 21, 2017 to Feb 26, 2018 · Saint Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- V••••••• A•••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Oct 22, 2021, registered Nov 26, 2021 (35 days) · Affiliated broker-dealer or bank to another · moved with a team
- T• A••••••••• I••• to V••••••• A•••••••• I•••left Jan 11, 2021, registered Aug 30, 2021 (231 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Dec 31, 2020, registered Feb 27, 2018 (-1038 days) · corporate re-registration, not a move
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address