Jeffrey J. Sandberg
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.
Jeffrey James Sandberg, who also goes by Jeff Sandberg, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1987. Jeffrey had worked at 21 firms and has passed the Series 63, SIE, Series 55, Series 7 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
December 10, 2018 - February 4, 2020
SANCTUARY SECURITIES, INC.
May 19, 2014 - January 4, 2019
WORLD EQUITY GROUP, INC.
April 30, 2012 - May 12, 2014
INTERNATIONAL ASSETS ADVISORY, LLC
August 27, 2010 - May 23, 2012
WOODSTOCK FINANCIAL GROUP, INC.
August 6, 2010 - August 27, 2010
CRESCENT SECURITIES GROUP, INC.
February 6, 1998 - August 26, 2010
APS FINANCIAL CORPORATION
October 28, 1997 - January 1, 1998
COLLEGE & UNIVERSITY SECURITIES CORPORATION
January 10, 1997 - January 1, 1998
ICBA SECURITIES
December 2, 1996 - January 1, 1998
VINING-SPARKS IBG, LLC
June 1, 1996 - August 6, 1996
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
September 7, 1994 - May 8, 1996
M.G.S.I. SECURITIES, INC.
July 13, 1993 - September 9, 1994
UBS FINANCIAL SERVICES INC.
April 25, 1991 - July 20, 1993
PRUDENTIAL EQUITY GROUP, LLC
October 29, 1990 - May 3, 1991
THE TRADING DESK, INC.
December 11, 1989 - October 31, 1990
KNIBBE FINANCIAL GROUP, INC.
June 26, 1989 - December 20, 1989
UNION EXCHANGE SECURITIES, INCORPORATED
April 24, 1989 - May 5, 1989
MARCUS, STOWELL & BEYE, INC.
April 24, 1989 - May 5, 1989
MARCUS, STOWELL & BEYE GOVERNMENT SECURITIES, INC.
January 30, 1989 - December 20, 1989
UNION EXCHANGE SECURITIES, INCORPORATED
August 5, 1988 - December 22, 1988
GSC SECURITIES, INC.
June 21, 1988 - December 22, 1988
GOVERNMENT SECURITIES CORPORATION
August 18, 1987 - June 14, 1988
M.G.S.I. SECURITIES, INC.
August 14, 1987 - June 21, 1988
MORTGAGE GOVERNMENT SECURITIES, INC.
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 55
Date: 2/15/2000
Limited Representative-Equity Trader ExamCurrent Firm
SANCTUARY SECURITIES, INC.
CRD#: 205 / SEC#: 801-67588, 8-22752
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SANCTUARY WEALTH GROUP, LLC | SOLE SHAREHOLDER | |
| CHASE, KEVIN P | CHIEF COMPLIANCE OFFICER | 1626158 |
| MILLER, KEVIN JOSEPH | CHIEF LEGAL OFFICER AND BOARD MEMBER OF SANCTUARY SECURITIES INC. | 4133001 |
| SMEAL, TIMOTHY D | DIRECTOR OF OPERATIONS | 4169869 |
| VAUGHAN, DAVID | FINANCIAL OPERATIONS PRINCIPAL- FINOP AND BOARD MEMBER OF SANCTUARY SECURITIES INC. | 2603399 |
| WALTER, ROBERT ALAN | PRESIDENT AND CHAIRMAN OF THE BOARD FOR SANCTUARY SECURITIES INC. | 2507287 |
Disclosures
| Regulatory Event | 21 |
| Arbitration | 9 |
| Bond | 1 |
Red Flags
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