Sandra M. Allen
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 Marie Allen, who also goes by Sandra Marie Allen, Sandra Marie Allen-herelle, Sandra Marie Allen-herrell, Sandra Marie Allen-herrelle, was a registered financial professional .
Sandra is a previously registered financial professional and started their career in finance in 1983. Sandra had worked at 6 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 13, 2017 - June 5, 2018
FIRST COMMAND ADVISORY SERVICES
November 10, 2017 - June 5, 2018
FIRST COMMAND BROKERAGE SERVICES, INC.
December 15, 2015 - September 8, 2017
FIRST COMMAND ADVISORY SERVICES
March 15, 2012 - December 15, 2015
FIRST COMMAND BROKERAGE SERVICES, INC.
March 15, 2012 - September 8, 2017
FIRST COMMAND BROKERAGE SERVICES, INC.
September 29, 2009 - February 24, 2012
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
September 29, 2009 - February 24, 2012
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
June 3, 2002 - June 25, 2009
UBS FINANCIAL SERVICES INC.
September 1, 1999 - June 25, 2009
UBS FINANCIAL SERVICES INC.
October 8, 1990 - September 29, 1997
UBS FINANCIAL SERVICES INC.
January 27, 1988 - September 13, 1990
TUCKER ANTHONY INCORPORATED
August 23, 1983 - February 10, 1988
L. F. ROTHSCHILD & CO. INCORPORATED
Primary Firm SEC Registration
FIRST COMMAND ADVISORY SERVICES
CRD#: 281958 / SEC#: 801-56942
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
FIRST COMMAND ADVISORY SERVICES
CRD#: 281958 / SEC#: 801-56942
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 110,166 |
| AUM (Assets Under Management) | $ 22,090,760,499 |
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.
