Sanford R. Rich
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.
Sanford Robert Rich, who also goes by Sandy Rich, was a registered financial professional .
Sanford is a previously registered financial professional and started their career in finance in 1986. Sanford had worked at 3 firms and has passed the Series 63, SIE, 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
April 29, 2010 - October 31, 2014
WHITEMARSH CAPITAL ADVISORS
December 1, 1993 - April 16, 1996
CITICORP SECURITIES, INC.
April 23, 1986 - October 21, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
WHITEMARSH CAPITAL ADVISORS
CRD#: 127373 / SEC#: , 8-65988
Contact information
FINRA licenses (2 States and Territories)
Documents
Disclosures
| Regulatory Event | 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.
