Sander Ressler
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.
Sander Ressler, who also goes by Sander James Ressler, was a registered financial professional .
Sander is a previously registered financial professional and started their career in finance in 1986. Sander had worked at 20 firms and has passed the Series 63, Series 65, SIE, Series 3, Series 7, Series 24, Series 53, Series 14, Series 4 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 10, 2020 - April 23, 2021
KESTRA INVESTMENT SERVICES, LLC
December 18, 2018 - February 20, 2019
KESTRA INVESTMENT SERVICES, LLC
January 24, 2018 - February 9, 2018
KESTRA INVESTMENT SERVICES, LLC
October 19, 2015 - August 31, 2016
KESTRA INVESTMENT SERVICES, LLC
September 26, 2014 - August 12, 2016
THE STRATEGIC FINANCIAL ALLIANCE, INC.
January 24, 2013 - August 19, 2014
EMG CAPITAL LLC
November 19, 2010 - July 1, 2011
SUMMIT BROKERAGE SERVICES, INC.
July 16, 2009 - October 25, 2010
NEWEDGE USA, LLC
January 2, 2004 - January 1, 2004
IFG ADVISORY SERVICES INC
January 2, 2004 - January 1, 2004
VESTAX SECURITIES CORPORATION
January 2, 2004 - January 1, 2004
IFG NETWORK SECURITIES, INC.
December 4, 2003 - December 31, 2003
VESTAX SECURITIES CORPORATION
December 4, 2003 - December 31, 2003
IFG ADVISORY SERVICES INC
December 4, 2003 - November 7, 2005
CETERA ADVISORS LLC
October 14, 2003 - December 31, 2003
VESTAX SECURITIES CORPORATION
October 14, 2003 - December 31, 2003
IFG NETWORK SECURITIES, INC.
October 14, 2003 - November 7, 2005
CETERA ADVISORS LLC
April 25, 2000 - October 15, 2003
AMERICAN GENERAL EQUITY SERVICES CORPORATION
March 23, 2000 - October 6, 2003
AMERICAN GENERAL SECURITIES INCORPORATED
October 12, 1998 - April 26, 2000
SECURITIES AMERICA, INC.
March 20, 1997 - July 8, 1998
BARBER & BRONSON INCORPORATED
December 20, 1995 - February 28, 1997
CITIGROUP GLOBAL MARKETS INC.
October 5, 1994 - November 27, 1995
FAS WEALTH MANAGEMENT SERVICES, INC.
August 19, 1994 - October 27, 1994
DMG SECURITIES, INC.
January 26, 1994 - October 27, 1994
JW GENESIS CLEARING CORP.
January 3, 1994 - October 27, 1994
JWGENESIS SECURITIES, INC.
February 16, 1993 - January 3, 1994
JW GENESIS CLEARING CORP.
November 24, 1992 - October 27, 1994
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
February 19, 1986 - May 23, 1986
BLINDER, ROBINSON & CO., 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 8
Date: 9/27/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
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.
