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SG

Sanford D. Greenberg

Some features on this profile are disabled
CRD#: 1014129
SG

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Sanford Dean Greenberg, who also goes by Sandford Dean Greenberg, Sandy Greenberg, was a registered financial professional .

Sanford is a previously registered financial professional and started their career in finance in 1981. Sanford had worked at 9 firms and has passed the Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sandford Dean Greenberg | Sandy Greenberg

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 25, 2002 - October 20, 2004

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
TAMPA, FL
Past

January 2, 2001 - May 1, 2002

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
ST. LOUIS, MO
Past

December 10, 1999 - January 19, 2000

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
ST. LOUIS, MO
Past

January 4, 1999 - January 2, 2001

JWGENESIS FINANCIAL GROUP, INC

BD
CRD#: 38166
BOCA RATON, FL
Past

May 4, 1994 - January 4, 1999

CHATFIELD DEAN & CO., INC.

BD
CRD#: 14714
GREENWOOD VILLAGE, CO
Past

February 21, 1989 - March 2, 1989

MARSHALL DAVIS, INC.

BD
CRD#: 16278
Past

January 12, 1989 - February 27, 1989

POWER SECURITIES CORPORATION

BD
CRD#: 15527
Past

June 19, 1984 - January 17, 1989

BLINDER, ROBINSON & CO., INC.

BD
CRD#: 5096
Past

April 6, 1984 - June 28, 1984

VANDERBILT SECURITIES, INC.

BD
CRD#: 14280
Past

July 15, 1983 - April 16, 1984

SHERWOOD CAPITAL, INC.

BD
CRD#: 10474
Past

October 31, 1981 - May 31, 1983

BLINDER, ROBINSON & CO., INC.

BD
CRD#: 5096

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/12/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/17/1981
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/16/1994
General Securities Principal Examination

Current Firm

GF
GUNNALLEN FINANCIAL, INC
GUNNALLEN FINANCIAL, INC | NAPEX FINANCIAL CORPORATION | NAPEX FINANCIAL CORP. | GUNNALLEN WEALTH MANAGEMENT

CRD#: 17609 / SEC#: , 8-35508

BD
Terminated by SEC on 06/11/2010
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 01/15/1986
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
GUNNALLEN HOLDINGS, INC.SHAREHOLDER
DANIELS, KEVIN CHRISTIANEVP OF TRADING, CHIEF COMPLIANCE OFFICER2041956
KRAUS, FREDERICK OSCAR JRPRESIDENT, CFO, FINOP1393886

Disclosures

Regulatory Event17
Arbitration13

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

GUNNALLEN FINANCIAL, INC

CRD#: 17609

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