Sandra J. Bakalus
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 Jo Bakalus, who also goes by Sandy B, Sandy Bakalus, was a registered financial professional .
Sandra is a previously registered financial professional and started their career in finance in 1985. Sandra had worked at 7 firms and has passed the Series 66, Series 63, 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
May 5, 2015 - December 2, 2015
CAPITAL CITY SECURITIES, LLC
September 21, 2012 - May 9, 2013
VALIC FINANCIAL ADVISORS, INC.
June 19, 2012 - May 9, 2013
VALIC FINANCIAL ADVISORS, INC.
June 4, 2008 - June 3, 2011
INVESTACORP, INC.
May 25, 2004 - April 27, 2006
SALOMON GREY FINANCIAL CORPORATION
October 28, 1998 - June 13, 2002
UBS FINANCIAL SERVICES INC.
October 26, 1998 - June 13, 2002
UBS FINANCIAL SERVICES INC.
May 6, 1997 - October 2, 1998
GRUNTAL & CO., L.L.C.
June 7, 1995 - May 1, 1997
UBS FINANCIAL SERVICES INC.
December 17, 1985 - May 6, 1988
MORGAN STANLEY DW 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
Current Firm
CAPITAL CITY SECURITIES, LLC
CRD#: 146001 / SEC#: , 8-67771
Contact information
FINRA licenses (27 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL CITY PARTNERS, INC. | OWNER/MANAGING MEMBER | |
| CRAWFORD, TODD EDWARD | CCO | 1951009 |
| CRAWFORD, TODD EDWARD | PRESIDENT | 1951009 |
| ROLAND, JAMES MERVIN | V. P. COMPLIANCE AND OPERATIONS | 1871181 |
| ROLAND, JAMES MERVIN | OPTIONS PRINCIPAL | 1871181 |
| TOMASELLO, JAC GERARD | MP | 1749835 |
| TOMASELLO, JAC GERARD | GENERAL PRINCIPAL | 1749835 |
| TOMASELLO, JAC GERARD | FIN OP | 1749835 |
Disclosures
| Regulatory Event | 3 |
| 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.
