Sandra S. Lipke
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 Santarsiero Lipke, who also goes by Sandi Santarsiero Lipke, Sandra Santarsiero Lipke Mrs, Sandi Santarsiero, Sandra Jean Santarsiero, was a registered financial professional .
Sandra is a previously registered financial professional and started their career in finance in 1995. Sandra had worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 2, 2008 - August 27, 2010
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
September 7, 2007 - April 9, 2014
RIVERSOURCE DISTRIBUTORS, INC.
October 27, 2005 - August 30, 2007
ALLIANZ LIFE FINANCIAL SERVICES, LLC
November 10, 2004 - October 19, 2005
WELLS FARGO INVESTMENTS, LLC
November 21, 2003 - October 19, 2005
WELLS FARGO INVESTMENTS, LLC
January 30, 2001 - October 27, 2003
VOYA FINANCIAL ADVISORS, INC.
December 13, 2000 - December 22, 2000
WELLS FARGO INVESTMENTS, LLC
February 23, 1999 - December 22, 2000
WELLS FARGO SECURITIES INC.
May 9, 1995 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
CRD#: 840 / SEC#: , 8-25845
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J. & W. SELIGMAN & CO. INCORPORATED | SOLE STOCKHOLDER | |
| BUFF, STEPHEN ODONNELL | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2143366 |
| BUMPUS, JAMES FREDERICK | DIRECTOR, VICE PRESIDENT, AND HEAD OF INTERMEDIARY MARKETS | 1928724 |
| DEFAO, MICHAEL E | VICE PRESIDENT, CHIEF LEGAL OFFICER AND ASSISTANT SECRETARY | 2687755 |
| MATTOX, MICHAEL SCOTT | CHIEF FINANCIAL OFFICER | 4383501 |
| TRUSCOTT, WILLIAM FREDERICK | CHAIRMAN OF THE BOARD, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2416857 |
| ZEITOUN, MARC CLAUDE | DIRECTOR, VICE PRESIDENT AND HEAD OF NORTH AMERICA PRODUCT | 2639942 |
Disclosures
| Civil Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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