Sandra L. King
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 King, who also goes by Sandra Alexandra, Sandra Lee Kunkle, Sandra Lee Morris, was a registered financial advisor .
Sandra is a previously registered financial advisor and started their career in finance in 1983. Sandra had worked at 10 firms and has passed the Series 65, Series 63, Series 15, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 3, 2007 - August 31, 2009
WEDBUSH SECURITIES INC.
July 3, 2007 - August 31, 2009
WEDBUSH SECURITIES INC.
January 3, 2005 - July 12, 2007
BROOKSTREET SECURITIES CORPORATION
July 9, 2004 - July 12, 2007
BROOKSTREET SECURITIES CORPORATION
July 1, 2003 - July 8, 2004
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - July 8, 2004
WELLS FARGO CLEARING SERVICES, LLC
March 30, 1998 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
May 7, 1997 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
July 31, 1993 - May 12, 1997
CITIGROUP GLOBAL MARKETS INC.
December 4, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
March 14, 1991 - November 12, 1992
DAIN RAUSCHER INCORPORATED
March 8, 1989 - March 25, 1991
GRUNTAL & CO., L.L.C.
August 22, 1984 - March 14, 1989
J.P. MORGAN SECURITIES LLC
October 19, 1983 - August 29, 1984
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
WEDBUSH SECURITIES INC.
CRD#: 877 / SEC#: 801-6358, 8-12987
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 15
Date: 10/30/1985
Foreign Currency Options ExaminationSeries 8
Date: 3/19/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WEDBUSH SECURITIES INC.
CRD#: 877 / SEC#: 801-6358, 8-12987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WEDBUSH FINANCIAL SERVICES, LLC | OWNER | |
| BILLINGS, DANIEL ERIC | EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, DIRECTOR | 4568232 |
| BLAND, GEOFFREY CONOR | DIRECTOR | 7358773 |
| DEMPSEY, FRANCIS BURKE | EXECUTIVE VICE PRESIDENT | 2428325 |
| DRUCH, ANDREW WALTER | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, CHIEF ADMINISTRATIVE OFFICER, DIRECTOR | 1688071 |
| FITZSIMMONS, ROBERT GERARD | EXECUTIVE VICE PRESIDENT | 1878661 |
| FRAUNCES, KIRSTEN CAMPBELL | EXECUTIVE VICE PRESIDENT | 2933930 |
| HULTGREN, DONALD WAYNE | EXECUTIVE CHAIR, DIRECTOR | 1475369 |
| MONE, CHRISTOPHER MICHAEL | EXECUTIVE VICE PRESIDENT | 2401952 |
| PARRODE, RODRIGO NMN | EVP, CHIEF OPERATING OFFICER | 4905345 |
| PASET, ROBERT EDWARD | EXECUTIVE VICE PRESIDENT | 1055902 |
| PRESTON, ERIN KATHLEEN | CHIEF COMPLIANCE OFFICER | 5314250 |
| WEDBUSH, GARY LANCE | PRESIDENT, DIRECTOR | 2234455 |
Regulatory assets under management
| Total Number of Accounts | 10,048 |
| AUM (Assets Under Management) | $ 5,684,848,455 |
Disclosures
| Regulatory Event | 147 |
| Civil Event | 3 |
| Arbitration | 60 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2024 | ||
| 04/26/2024 | ||
| 12/21/2022 |
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.
