Samuel Waltman is a CFA-designated registered investment advisor, based in Los Angeles, CA, with 20 years of industry experience.
Location
2000 Avenue of the Stars, Suite 1110, Los Angeles, CA, 90067
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Kayne Anderson Rudnick Investment Management, LLC
May 2016 - Present · 10 yrs 4 mos
Vp Distributors LLCBroker
May 2016 - Present · 10 yrs 4 mos
Vp Distributors LLC
May 2016 - Present · 10 yrs 4 mos
Previous Registrations
Citigroup Global Markets INC.Broker
August 2014 - February 2016 · 1 yr 6 mos
Citigroup Global Markets INC.
August 2014 - February 2016 · 1 yr 6 mos
J.P. Morgan Securities LLC
January 2013 - August 2014 · 1 yr 7 mos
J.P. Morgan Securities LLC
August 2011 - May 2012 · 9 mos
J.P. Morgan Securities LLCBroker
August 2011 - August 2014 · 3 yrs
Barclays Capital INC.
September 2010 - August 2011 · 11 mos
Barclays Capital INC.Broker
August 2010 - August 2011 · 1 yr
Northwestern Mutual Investment Services, LLCBroker
April 2003 - February 2008 · 4 yrs 10 mos
State Registrations8 states
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AdvisorBrokerBoth
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Exams
No exam information available for this advisor.