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Saul Ira Sanders

CRD# 1066544·Registered 1983 - 2018
Previously Registered: Being a previously registered professional could mean that Saul 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.

Professional Summary

Saul Ira Sanders was a registered financial advisor. Saul was a previously registered financial professional and started their career in finance 1983 - 2018. Saul had worked at 4 firms and has passed the SIE, Series 7, Series 24 and Series 27 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

43 years in the financial services industry

Current & Past Employments

SHELLPOINT CAPITAL LLC·CRD# 159433
BD
Miami, FL
June 14, 2012 - August 3, 2018
C-BASS CAPITAL LLC·CRD# 43133
BD
New York, NY
October 1, 1997 - December 8, 2009
CITICORP SECURITIES, INC.·CRD# 7474
BD
New York, NY
April 20, 1988 - June 6, 1996
GOLDMAN SACHS & CO. LLC·CRD# 361
BD
New York, NY
August 7, 1984 - April 12, 1988
CITICORP SECURITIES, INC.·CRD# 7474
BD
May 26, 1983 - July 17, 1984

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Current Firm

SC
SHELLPOINT CAPITAL LLC

SHELLPOINT CAPITAL LLC

CRD#: 159433 / SEC#: 8-68987
BD
Terminated by SEC on 11/30/2019

Contact Information

Established

Delaware since 03/29/2011

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
SHELLPOINT PARTNERS LLCDIRECT OWNER—
MCSHERRY, JOSEPH WILLIAMSVP, CFO, CHIEF COMPLIANCE OFFICER, PFO, AND POO2007353
WILLIAMS, BRUCE JOHNCEO1657101

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

SIE — Securities Industry Essentials Examination

Passed Aug 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jan 1985About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Oct 1989About the Series 24 exam

Series 27 — Financial and Operations Principal Examination

Passed Apr 1983About the Series 27 exam

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CRS (Client Relationship Summary)

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

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