Sandra C. Hou
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.
Sandra Carlson Hou, who also goes by Sandra Lynne Carlson, was a registered financial professional .
Sandra is a previously registered financial professional and started their career in finance in 2006. Sandra had worked at 2 firms and has passed the Series 65 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 24, 2018 - July 1, 2019
AEGIS WEALTH
November 7, 2006 - October 20, 2017
ERNST & YOUNG INVESTMENT ADVISERS LLP
Primary Firm SEC Registration
AEGIS WEALTH
CRD#: 134429 / SEC#: 801-64004
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Current Firm
AEGIS WEALTH
CRD#: 134429 / SEC#: 801-64004
Contact information
SEC notice filing (10 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 525 |
| AUM (Assets Under Management) | $ 707,989,699 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2024 | ||
| 10/11/2023 | ||
| 01/06/2023 |
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.
