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Sandra K. Simpson

Some features on this profile are disabled
CRD#: 1443703
SS

Professional summary

Sandra Kay Simpson was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Sandra is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, Sandra had worked at 4 firms, which includes LEONARD & COMPANY, SAPERSTON FINANCIAL INC., BENTLEY-LAWRENCE SECURITIES INC., PRUDENTIAL EQUITY GROUP LLC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 30, 1996 - May 20, 2002

LEONARD & COMPANY

BD
CRD#: 36527
TROY, MI
Past

October 11, 1995 - June 5, 1996

SAPERSTON FINANCIAL INC.

BD
CRD#: 27863
BUFFALO, NY
Past

August 9, 1995 - October 3, 1995

BENTLEY-LAWRENCE SECURITIES, INC.

BD
CRD#: 13174
TROY, MI
Past

December 17, 1985 - July 5, 1995

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 1/11/1993
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/27/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/14/1985
General Securities Representative Examination

Current Firm

L&
LEONARD & COMPANY
CAMBRIDGE CAPITAL MANAGEMENT, INC. | WEALTH LINK, A DIVISION OF LEONARD & COMPANY | THE MANN GROUP, A DVISION OF LEONARD & COMPANY | THE MANN GROUP, A DIVISION OF LEONARD & COMPANY | THE AGBAY GROUP, A DIVISION OF LEONARD & COMPANY | STRATEGIC ASSET ADVISORS, A DIVISION OF LEONARD & COMPANY | QUARTON PARTNERS, A DIVISION OF LEONARD & COMPANY | PLUMMER MCINERNEY GROUP WEALTH MANAGEMENT, A DIVISION OF LEONARD & COMPANY | LEONARD FINANCIAL CORPORATION | LEONARD CAPITAL MARKETS, A DIVISION OF LEONARD & COMPANY | LEONARD ASSET MANAGEMENT, A DIVISION OF LEONARD & COMPANY | LEONARD AND COMPANY | LEONARD & COMPANY | GREAT LAKES BAY FINANCIAL, A DIVISION OF LEONARD & COMPANY | DARVIN ASSET MANAGEMENT, A DIVISION OF LEONARD & COMPANY | CCM FINANCIAL CORPORATION

CRD#: 36527 / SEC#: 801-60035, 8-47298

BD
Terminated by SEC on 09/18/2012
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Contact information

Main Address
Mailing Address
Phone number
Established
Michigan since 10/18/1993
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

LEONARD & COMPANY (3/29/2012)
SAA (3/29/2012)
WEALTH LINK (3/29/2012)
AGBAY GROUP (3/29/2012)
WRAP FEE BROCHURE (3/29/2012)

Direct owners and executive officers

NamePositionCRD#
LEONARD-FRENCH HOLDINGS, INC.OWNER
FRENCH, DAINFORTH BAKER JRPRESIDENT, CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER2406891
WEBER, DAVID KEITHCHIEF FINANCIAL OFFICER/FIN OP4797454

Disclosures

Regulatory Event13
Arbitration2

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

LEONARD & COMPANY

CRD#: 36527

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