Individual Firm
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
Samuel Lloyd Perry
SAMUEL LLOYD PERRY JR, SAMUEL LLOYD PERRY
CRD#: 2559580
IA
B
CAPTRUSTCRD#: 175112 400 N Tampa St
Suite 1800
Tampa, FL 33602
Suite 1800
Tampa, FL 33602
CAPFINANCIAL SECURITIES, LLC.CRD#: 126291 400 N Tampa St
Suite 1800
Tampa, FL 33602
Suite 1800
Tampa, FL 33602
0
Disclosures
30
Years of Experience
View By:
State Registrations
IA
Florida 8/14/2017
B
North Carolina 9/5/2017
B
Florida 9/2/2017
B
South Carolina 1/7/2020
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 8/14/2017
B
Registered with this firm since 9/2/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/12/2007 - 12/31/2017 | TAMPA, FL | |
IA | 06/15/2002 - 07/07/2017 | TAMPA, FL | |
B | 06/15/2002 - 07/07/2017 | TAMPA, FL | |
IA | 08/07/1998 - 06/20/2002 | TAMPA, FL | |
B | 08/07/1998 - 06/15/2002 | CHARLOTTE, NC | |
B | 01/18/1995 - 08/19/1998 | NEW YORK, NY |
For additional information about investment advisers or broker-dealers, please visit
B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.