Sanford G. Simmons
Professional summary
Sanford Graham Simmons was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Sanford is a previously registered financial advisor and started their career in finance in 1981. Prior to being barred, Sanford had worked at 17 firms, which includes SAXONY SECURITIES INC., PATRICK CAPITAL MARKETS LLC, COLORADO FINANCIAL SERVICE CORPORATION, WEALTHFORGE SECURITIES LLC, PROVASI CAPITAL PARTNERS LP, CABOT LODGE SECURITIES LLC, GRIFFIN CAPITAL SECURITIES LLC, K-ONE INVESTMENT COMPANY INC., AIM PRIVATE ASSET MANAGEMENT, INVESCO DISTRIBUTORS INC., DELAWARE DISTRIBUTORS L.P., NATIXIS DISTRIBUTION LLC, TNE INVESTMENT SERVICES CORPORATION, POLARIS SECURITIES CORPORATION, DANIEL REALTY SECURITIES CORPORATION, LEGG MASON WOOD WALKER INCORPORATED, DERAND/PENNINGTON/BASS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2023 - October 2, 2024
SAXONY SECURITIES, INC.
March 22, 2021 - December 31, 2022
PATRICK CAPITAL MARKETS, LLC
February 8, 2021 - March 23, 2021
COLORADO FINANCIAL SERVICE CORPORATION
April 3, 2020 - January 4, 2021
WEALTHFORGE SECURITIES, LLC
June 1, 2018 - April 1, 2020
PATRICK CAPITAL MARKETS, LLC
April 18, 2013 - April 11, 2018
PROVASI CAPITAL PARTNERS LP
September 10, 2012 - April 16, 2013
CABOT LODGE SECURITIES LLC
March 17, 2010 - July 27, 2012
GRIFFIN CAPITAL SECURITIES, LLC
June 16, 2009 - March 11, 2010
PATRICK CAPITAL MARKETS, LLC
January 12, 2009 - June 8, 2009
K-ONE INVESTMENT COMPANY, INC.
June 21, 2002 - January 18, 2007
AIM PRIVATE ASSET MANAGEMENT
January 29, 1996 - January 18, 2007
INVESCO DISTRIBUTORS, INC.
March 30, 1994 - January 22, 1996
DELAWARE DISTRIBUTORS, L.P.
September 15, 1993 - March 15, 1994
NATIXIS DISTRIBUTION, LLC
November 14, 1990 - September 15, 1993
TNE INVESTMENT SERVICES CORPORATION
February 6, 1987 - November 20, 1990
POLARIS SECURITIES CORPORATION
April 30, 1986 - November 3, 1986
DANIEL REALTY SECURITIES CORPORATION
May 29, 1984 - June 26, 1985
LEGG MASON WOOD WALKER, INCORPORATED
December 11, 1981 - June 7, 1984
DERAND/PENNINGTON/BASS, INC.
State Registrations and Notice Filings
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Exams
Current Firm
SAXONY SECURITIES, INC.
CRD#: 115547 / SEC#: , 8-53490
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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