Samuel Barber
Samuel Barber is a ChFC-designated registered investment advisor at Lifemark Securities CORP., based in Rochester, NY, with 21 years of industry experience. Samuel operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Financial Planning & Coaching, Investment Management, Retirement Planning. Their firm serves 1,434 clients with $460M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LifeMark Securities Corp. charges a fee based on a percentage of your account value for investment advisory services. This fee is negotiable and depends on the account value, investment program, service level, and complexity of your financial situation. The fee ranges from 0.35% to 0.5% depending on the asset level, with a maximum of 2.0%. Additional fees may include custodian fees, platform fees, manager fees, and transaction fees. The fees are deducted directly from your account monthly or quarterly.
Location
400 West Metro Park, Rochester, NY, 14623
Get directionsHistory
Regulatory History (3)
Customer Dispute
May 2024Employment Separation After Allegations
March 2017Customer Dispute
February 2017Other Business ActivitiesSells Insurance
Samuel works as an agent/broker for Chittenden-Warwick Insurance Group, selling and servicing insurance and group benefits products, dedicating about 10-20% of his time. He also uses the DBA Chittenden Financial Services for securities sales through Lifemark.
Employment History
Current Registrations
Lifemark Securities CORP.
Lifemark Securities CORP.Broker
Previous Registrations
MML Investors Services, LLC
MML Investors Services, LLCBroker
AXA Advisors, LLC
AXA Advisors, LLCBroker
AXA Distributors, LLCBroker
Northwestern Mutual Investment Services, LLCBroker
State Registrations8 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.