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Samuel Stothoff
SAMUEL STOTHOFF, Samuel McClary Stothoff
CRD#: 7002500
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 1000 & 1200 HARBOR BLVD.
WEEHAWKEN, NJ 07086
Registration History
2018201920202021202220232024202520262 FIRMS2020 - Present (5 years)BVANGUARD MARKETING CORPORATION (CRD# 7452)2018 - 2019 (1 year)
License(s)

State Registrations

B
Alabama 1/6/2020

B
Nevada 1/6/2020

B
Alaska 1/6/2020

B
New Hampshire 1/6/2020

B
Arizona 1/6/2020

B
New Jersey 1/6/2020

B
Arkansas 1/6/2020

IA
New Jersey 1/15/2020

B
California 1/6/2020

B
New Mexico 1/6/2020

B
Colorado 1/6/2020

B
New York 1/6/2020

B
Connecticut 1/6/2020

IA
New York 3/16/2022

B
Delaware 1/6/2020

B
North Carolina 1/6/2020

B
District of Columbia 1/6/2020

IA
North Carolina 5/29/2024

B
Florida 1/6/2020

B
North Dakota 1/6/2020

B
Georgia 1/6/2020

B
Ohio 1/6/2020

B
Hawaii 1/6/2020

B
Oklahoma 1/6/2020

B
Idaho 1/6/2020

B
Oregon 1/6/2020

B
Illinois 1/6/2020

B
Pennsylvania 1/6/2020

B
Indiana 1/6/2020

B
Puerto Rico 1/6/2020

B
Iowa 1/6/2020

B
Rhode Island 1/6/2020

B
Kansas 1/6/2020

B
South Carolina 1/6/2020

B
Kentucky 1/6/2020

B
South Dakota 1/6/2020

B
Louisiana 1/6/2020

B
Tennessee 1/6/2020

B
Maine 1/6/2020

B
Texas 1/6/2020

B
Maryland 1/6/2020

B
Utah 1/6/2020

B
Massachusetts 1/6/2020

B
Vermont 1/6/2020

B
Michigan 1/6/2020

B
Virgin Islands 1/6/2020

B
Minnesota 1/6/2020

B
Virginia 1/6/2020

B
Mississippi 1/6/2020

B
Washington 1/6/2020

B
Missouri 1/6/2020

B
West Virginia 1/6/2020

B
Montana 1/6/2020

B
Wisconsin 1/6/2020

B
Nebraska 1/6/2020

B
Wyoming 1/6/2020

SRO Registrations

B
BOX Exchange LLC

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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
UBS FINANCIAL SERVICES INC. (CRD#:8174)
1000 & 1200 HARBOR BLVD., WEEHAWKEN, NJ 07086
New York, NY
Registered with this firm since 1/15/2020

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
1000 & 1200 HARBOR BLVD., WEEHAWKEN, NJ 07086
New York, NY
Registered with this firm since 1/6/2020

Previous Registration(s)
th hidden textth hidden textNameLocation
B
10/10/2018 - 12/11/2019 VANGUARD MARKETING CORPORATION (CRD#:7452) CHARLOTTE, NC
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B
Broker
IA
Investment Adviser
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.