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Detailed Report
SAMUEL EDWARD SCRUGGS JR.
Sam Scruggs, Samuel Edward Scruggs
CRD#: 6916624
IA
Investment Adviser
B
Broker
PARK AVENUE SECURITIES LLCCRD#: 46173 6115 PARK SOUTH DRIVE
SUITE 200
CHARLOTTE, NC 28210
Registration History
20202021202220232024202520262 FIRMS2021 - 2022 (1 year)2 FIRMS2024 - Present (<1 year)BEQUITABLE ADVISORS, LLC (CRD# 6627)2021 - 2021 (<1 year)
Disclosure(s)
View By:
6/3/2021
Financial
Final
6/2/2021
Financial
Final
6/8/2020
Financial
Final
License(s)

State Registrations

B
North Carolina 7/29/2024
IA
North Carolina 8/1/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
PARK AVENUE SECURITIES LLC (CRD#:46173)
6115 PARK SOUTH DRIVE SUITE 200, CHARLOTTE, NC 28210
WAXHAW, NC
Registered with this firm since 8/1/2024
B
PARK AVENUE SECURITIES LLC (CRD#:46173)
6115 PARK SOUTH DRIVE SUITE 200, CHARLOTTE, NC 28210
WAXHAW, NC
Registered with this firm since 7/24/2024
Previous Registration(s)
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IA
 11/05/2021 - 08/29/2022 FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590) WAXHAW, NC
B
 08/24/2021 - 08/05/2022 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) JACKSONVILLE, FL
B
 03/29/2021 - 04/02/2021 EQUITABLE ADVISORS, LLC (CRD#:6627) CHARLOTTE, NC
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.