Sam Bills

Knoxville, Tennessee, 37919
Telephone: 865.525.1329
Medium_458_51220051315241
Registry Member Since 2004

Business Philosophy

Did Not Answer

1. What are your firm names?
2. How is your RIA registered?
  • SEC
3. What type of practice do you have?
  • Did Not Answer
4. What is your relationship to your RIA?
  • Independent Contractor
5. What are your years of financial services experience?
  • 13 Years
6. Do you have one or more degrees from an accredited college or university?
  • No
7. What categories of financial services do you provide for fees? Another professional (CPA, estate attorney) by provide one or more of the services. Their services are available through you.
  • No
8. What are your license and registration numbers?
9. What are your current registrations and licenses?
  • No Active Security Licenses
10. Do you acknowledge you are a fiduciary when you provide financial advice and services for fees?
  • Yes
11. In what states are you licensed or registered to sell investment services and products for fees or commissions?
  • Did Not Answer
12. In what states are you licensed to sell insurance products for commissions?
  • Did Not Answer
13. In the past five years, do you have any disclosures on your investment or insurance compliance records?
  • Investment Disclosures: No
  • Insurance Disclosures: No
14. Since you became an adult, do you have any criminal disclosures (misdemeanors/felonies)?
  • No
15. My ADV Part II is:
  • Available Upon Request
16. Do you have any additional disclosures?
  • Did Not Answer
  • 17. What are your methods of compensation?
    • Did Not Answer
    18. Will you work with clients over the telephone and Internet?
    • Did Not Answer
    19. What types of reports do you provide your clients and what is the frequency?
    • Did Not Answer
    20. Will you meet with prospective clients at their locations?
    • Yes
    21. Do you make investment decisions for your clients without their approval in advance?
    • Did Not Answer
    22. Scope of Business: What is your current number of clients (not accounts)?
    • None
    23. Scope of Business: What are your current assets under management or advisement? (Compensation is fees)
    • None
    24. Do you have a minimum fee requirement?
    • Did Not Answer
    25. Do you have a minimum asset requirement?
    • $100,000
    26. Do you speak any additional languages fluently?
    • None
    27. Do you provide any limited engagement services?
    • None
    28. Which categories of financial services do you provide for fees? Another professional (CPA, estate attorney) may provide one or more of these services.
    • Planning
    • Investment
    29. Do you sell investment or insurance products for commissions?
    • No
    30. What types of clients do you work with?
    • Individuals
    31. Which custodian(s) take physical possession of your clients' assets? If applicable, name the top three in order of importance
    • Did Not Answer

    Certification

    I certify all of the information in my professional profile is accurate and up-to-date.
    Advisor Name: Sam Bills
    Most Recent Update: Mar 22, 2014