Samuel Barber
Samuel Barber is a ChFC-designated registered investment advisor at Lifemark Securities CORP., based in Naugatuck, CT, with 22 years of industry experience. Samuel is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Financial Planning & Coaching, Investment Management, Retirement Planning. Their firm serves 1,053 clients with $420M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.00% |
Representative fees generally range from 0.35% to 0.5% based on asset level, up to a maximum of 2.0%. Total client fees may exceed 2.0% depending on program selection and third-party manager fees. Fees are negotiable.
Fee Estimator
Location
327 Church Street, Naugatuck, CT, 06770
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.
Exams
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