Sandra G. Stevens
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 Gose Stevens, who also goes by Sandy Allen, Sandra G Stevens, Sandra G Stevens Allen, was a registered financial professional .
Sandra is a previously registered financial professional and started their career in finance in 1983. Sandra had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 2, Series 1, Series 4 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
May 16, 2018 - May 13, 2020
ON INVESTMENT MANAGEMENT CO
May 4, 2018 - May 13, 2020
THE O.N. EQUITY SALES COMPANY
March 25, 2017 - April 12, 2018
MML INVESTORS SERVICES, LLC
March 25, 2017 - April 12, 2018
MML INVESTORS SERVICES, LLC
January 2, 2015 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
January 2, 2015 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
April 12, 1999 - January 2, 2015
NEW ENGLAND SECURITIES
August 2, 1985 - September 10, 1985
AETNA FINANCIAL SERVICES, INC.
July 16, 1985 - January 2, 2015
NEW ENGLAND SECURITIES
May 18, 1984 - May 13, 1985
INTEGRATED RESOURCES EQUITY CORPORATION
June 19, 1983 - August 30, 1985
AETNA LIFE INSURANCE AND ANNUITY COMPANY
Primary Firm SEC Registration
ON INVESTMENT MANAGEMENT CO
CRD#: 105662 / SEC#: 801-7941
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
Series 2
Date: 12/15/1976
Non-Member General Securities ExaminationSeries 1
Date: 12/15/1975
Registered Representative ExaminationCurrent Firm
ON INVESTMENT MANAGEMENT CO
CRD#: 105662 / SEC#: 801-7941
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12,053 |
| AUM (Assets Under Management) | $ 2,376,953,646 |
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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