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Eric Allen Sams

Investment Adviser Representative at AXXCESS WEALTH MANAGEMENT, LLC

San Diego, CACRD #5722993Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
16 yrs
States Registered
3 states
Exams Passed
9

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Eric Allen Sams has worked in the securities industry since 2010. They have passed the Series 99, 79, 66, 53, 52, 24, 7, and 4 examinations. They are registered to provide investment advisory services in California, Tennessee, and Texas.

Registrations & licenses

Registration type
Dual-registered
Registered in 3 states
CaliforniaTennesseeTexas
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 4/23/2010
Series 52
Municipal Securities Representative Examination
Passed 1/2/2023
Series 99
Operations Professional Examination
Passed 1/2/2023
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 79
Investment Banking Registered Representative Examination
Passed 5/21/2015
Series 7
General Securities Representative Examination
Passed 3/4/2010
Series 53
Municipal Securities Principal Examination
Passed 4/28/2016
Series 4
Registered Options Principal Examination
Passed 12/18/2014
Series 24
General Securities Principal Examination
Passed 8/3/2012

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Asset tierAnnual rate
Wealth Management / Customized Portfolio Platform0.15%
Wealth Management / Customized Portfolio Platform2.00%
Source

Axxcess Wealth Management, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

AXXCESS WEALTH MANAGEMENT, LLCCurrent
1/4/2022San Diego, CA
AXXCESS WEALTH MANAGEMENT, LLC
5/1/202012/31/2021San Diego, CA
WBB SECURITIES, LLC
1/3/20177/15/2020San Diego, CA
MILLENNIAL ADVISERS, LLC.
3/26/20204/30/2020San Diego, CA
KEYSTONE CAPITAL CORPORATION
3/15/201110/31/2016San Diego, CA
AXA ADVISORS, LLC
4/26/20103/16/2011San Diego, CA

Official records & sources

Data as of June 21, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Eric Allen Sams has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.

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