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Robert-john Hamilton Sands

CRD# 1107457·Registered 1983 - 2015
Previously Registered: Being a previously registered professional could mean that Robert-john 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

Robert-john Hamilton Sands, who also goes by Robert John Hamilton Sands, was a registered financial advisor. Robert-john was a previously registered financial professional and started their career in finance 1983 - 2015. Robert-john had worked at 3 firms and has passed the SIE, Series 7 and Series 24 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

Robert John Hamilton Sands

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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

44 years in the financial services industry

Current & Past Employments

AMERITAS INVESTMENT COMPANY, LLC·CRD# 14869
BD
Bethesda, MD
October 31, 2003 - March 5, 2015
THE ADVISORS GROUP, INC.·CRD# 14035
BD
Bethesda, MD
December 3, 1983 - October 31, 2003
ACACIA EQUITY SALES CORPORATION·CRD# 13003
BD
May 9, 1983 - March 20, 1984

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Current Firm

AI
AMERITAS INVESTMENT COMPANY, LLC

AMERITAS ADVISORY SERVICES | THE ADVISORS GROUP (TAG) | SOWER SECURITIES CORP. | BLN INVESTMENT CORP. | AMERITAS INVESTMENT CORP. | AMERITAS INVESTMENT CORP | AMERITAS INVESTMENT COMPLANY, LLC | AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869 / SEC#: 8-31296
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

Contact Information

Main Address

5900 "o" Street, Lincoln, NE 68510

Mailing Address

Po Box 5507, Lincoln, NE 68505-0507

Phone Number

(800) 335-9858

Established

Nebraska since 04/10/1984

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Large

FINRA licenses (51 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

ADV PART 2A BROCHURE (9/16/2021)

Direct owners and executive officers

NamePositionCRD#
AMERITAS LIFE INSURANCE CORP.BENEFICIAL OWNER—
BERTHOLD, RICHARD AARONVICE PRESIDENT, OPERATIONS4433172
BIEL, ROLLIN LYNNFINANCIAL AND OPERATIONS PRINCIPAL5101711
CRUZ, ORLANDO RAFAEL JRMEMBER BOARD OF DIRECTORS2311194
HALVERSON, KELLY JAYMEMBER BOARD OF DIRECTORS7977580
KINSELLA, MATTHEW JOHNCHIEF COMPLIANCE OFFICER5217108
ROBSON, JEREMY MICHAELPRESIDENT AND MEMBER BOARD OF DIRECTORS4147931
RUZ, ROGER ANTHONYVICE PRESIDENT, SALES SUPERVISION2865493
SCHOMMER, CRAIG THOMASMEMBER BOARD OF DIRECTORS—
WU, MICHELE XIAOMINGMEMBER BOARD OF DIRECTORS7863936

Disclosures

Regulatory Event

21

Arbitration

2

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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 Mar 2015About the SIE exam

Series 7 — General Securities Representative Examination

Passed Nov 1982About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Dec 1982About the Series 24 exam

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CRS (Client Relationship Summary)

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

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