Sandra L. Fexer
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 Lea Fexer, who also goes by Sandra Lea Dowdy, Sandra Lea Lawrence, Sandra Lea Mahoney, was a registered financial professional .
Sandra is a previously registered financial professional and started their career in finance in 1994. Sandra had worked at 2 firms and has passed the Series 63, Series 7 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
January 5, 2004 - January 11, 2012
CM SECURITIES, LLC
July 26, 1994 - January 13, 1995
DST SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
CM SECURITIES, LLC
CRD#: 127136 / SEC#: , 8-65961
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
