Sandra L. Tobias
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 Lee Tobias, who also goes by Sandra Anstey, Sandra Crooks, Candy Tobias, 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 SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 2, 2017 - October 3, 2023
CROWN CAPITAL SECURITIES, L.P.
September 20, 2005 - February 3, 2025
BCN FINANCIAL, INC.
April 12, 2004 - October 19, 2005
BCN FINANCIAL
March 27, 1996 - February 2, 2017
QUEST SECURITIES, INC.
November 12, 1993 - January 10, 1996
AEGON USA SECURITIES INC.
June 11, 1992 - November 8, 1993
ROBERT SCOTT SECURITIES, INC.
March 23, 1990 - July 19, 1991
PROGRAMMED EQUITIES CORPORATION
August 29, 1983 - January 11, 1990
PRUCO SECURITIES, LLC.
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
CROWN CAPITAL SECURITIES, L.P.
CRD#: 6312 / SEC#: 801-57663, 8-17264
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DELTA CAPITAL HOLDINGS, LLC | GENERAL PARTNER | |
| DELTA BROKER HOLDING, LLC | LIMITED PARTNER | |
| EDWARDS, DON MICHAEL | CFO/FINOP/CONTROLLER | 2669488 |
| FRENCH, JONATHAN LEE | PRESIDENT/ MUNICIPAL PRINCIPAL/CROP/CMO/CCO/COO/INV. ADV.SERV. | 3155702 |
| PAULSEN, DAROL KENNETH | CEO/DIR./TREASURER/SROP | 358292 |
| PAULSEN, PHYLLIS JEAN | SR. VP/DIR/CAO DIR./LIC & REG/SEC | 1512757 |
Regulatory assets under management
| Total Number of Accounts | 5,654 |
| AUM (Assets Under Management) | $ 1,223,108,240 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 3 |
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.
