SM
Sandra L. Mallory
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CRD#: 1553477
SM
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 L. Mallory, who also goes by Sandra Lee Daugherty, Sandra Lee Engel, Sandi Lawson, Sandra L. Lawson, Sandra Lee Lawson, Sandra Lawson-whitlock, Sandi Thrift, Sandra Lee Thrift, Sandra Lee Tolley, was a registered financial professional .
Sandra is a previously registered financial professional and started their career in finance in 1988. Sandra had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Sandra Lee Daugherty | Sandra Lee Engel | Sandi Lawson | Sandra L. Lawson | Sandra Lee Lawson | Sandra Lawson-Whitlock | Sandi Thrift | Sandra Lee Thrift | Sandra Lee Tolley
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.
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®
NoneExperience
Past
November 20, 2015 - September 1, 2021
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
EVERTON, MO
Past
November 20, 2015 - September 1, 2021
SECURITIES AMERICA, INC.
BD
CRD#: 10205
EVERTON, MO
Past
February 29, 2012 - November 13, 2015
STIFEL, NICOLAUS & COMPANY, INCORPORATED
RIA
CRD#: 793
SPRINGFIELD, MO
Past
February 29, 2012 - November 13, 2015
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
SPRINGFIELD, MO
Past
August 11, 2005 - March 1, 2012
MORGAN KEEGAN & COMPANY, LLC
RIA
CRD#: 4161
SPRINGFIELD, MO
Past
July 29, 2005 - August 10, 2005
MORGAN KEEGAN & COMPANY, LLC
RIA
CRD#: 4161
SPRINGFIELD, MO
Past
July 29, 2005 - March 1, 2012
MORGAN KEEGAN & COMPANY, LLC
BD
CRD#: 4161
SPRINGFIELD, MO
Past
January 18, 2002 - August 2, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
SPRINGFIELD, MO
Past
December 7, 2000 - August 2, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
Past
March 14, 1999 - December 8, 2000
PFIC SECURITIES CORPORATION
BD
CRD#: 34941
FRANKLIN, TN
Past
September 16, 1998 - December 14, 1998
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
Past
May 6, 1998 - September 4, 1998
MERCANTILE INVESTMENT SERVICES, INC.
BD
CRD#: 19908
ST. LOUIS, MO
Past
October 9, 1996 - April 13, 1998
FIRST UNION BROKERAGE SERVICES, INC.
BD
CRD#: 8112
CHARLOTTE, NC
Past
July 8, 1994 - August 15, 1996
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
March 15, 1990 - July 21, 1994
BARNETT INVESTMENTS, INC.
BD
CRD#: 14897
JACKSONVILLE, FL
Past
November 2, 1989 - February 27, 1990
ADVEST, INC.
BD
CRD#: 10
HARTFORD, CT
Past
May 18, 1989 - October 28, 1989
BARNETT INVESTMENTS, INC.
BD
CRD#: 14897
JACKSONVILLE, FL
Past
June 28, 1988 - May 23, 1989
SOUTHMARK FINANCIAL SERVICES, INC.
BD
CRD#: 6518
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
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
SA
SECURITIES AMERICA ADVISORS, INC.
1865 WEALTH ADVISORS AT BANK ON BUFFALO | BREITENFELDT GROUP | BREIDENBAUGH FINANCIAL | BRECEK AND YOUNG FINANCIAL SERVICES | BRASS CITY FINANCIAL | BRANCH DEVELOPMENT PARTNERS | BRADY INVESTMENTS & WEALTH PLANNING | BRADY FINANCIAL | BRADFORD INVESTMENT SERVICES | BRADFORD CAPITAL GROUP | BRADEN FINANCIAL SERVICES | BRAD WERNER & COMPANY | BPA FINANCIAL ADVISORS | BOZEMAN FINANCIAL ADVISORS | BOOTH FINANCIAL GROUP | BONGIOVANNI INSURANCE & FINANCIAL | BOND FINANCIAL NETWORK | BOLIVAR INVESTMENT SERVICES | BLUEMARK ADVISORS | BLUE CHIP FINANCIAL GROUP | BLUE CHIP FINANCIAL | BLOSSER FINANCIAL SERVICES | BLOOMFIELD HILLS ADVISORY | BLANCHARD WEALTH SOLUTIONS | BLAKENEY FINANCIAL GROUP | BLAKEMAN BRISTER PUTMAN FINANCIAL GROUP | BLADE FINANCIAL SERVICES | BLACKHAWK FINANCIAL ADVISORS, INC. | BLACK RIVER ASSOCIATES | BLACK OAK INVESTMENT COUNSEL, INC. | BLACK EARTH WEALTH MANAGEMENT | BJURSTROM WEALTH MANAGEMENT | BIXBY FINANCIAL SERVICES | BISON WEALTH STRATEGIES | BIRDS EYE WEALTH PLANNING | BIGSKY FINANCIAL PLANNING GROUP | BIGMAN CONSULTING SERVICES | BIG SKY FINANCIAL PLANNING GROUP | BIG SKY FINANCIAL | BIERMAIER FINANCIAL MANAGEMENT | BHL FINANCIAL SERVICES | BG&CFS, P | BETHEA, ANGST AND HICKS WEALTH MANAGEMNT | BETHEA, ANGST & HICKS | BETCHER FINANCIAL GROUP | BERRIN MANAGEMENT GROUP | BERNARDY FINANCIAL GROUP | BENSON FINANCIAL SERVICES | BENSON FINANCIAL GROUP | BENEFITS WEST | BEN CAIN & ASSOCIATES | BEAU MCNICHOLAS | BEARD FINANCIAL GROUP | BEACONPATH WEALTH MANAGEMENT | BEACH HOUSE WEALTH MANAGEMENT | BDM FINANCIAL ADVISORS | BCA FINANCIAL SERVICES | BC&I WEALTH MANAGEMENT | BAYSIDE FINANCIAL STRATEGIES | BAYPORT FINANCIAL | BAY VIEW CAPITAL | BAY POINTE WEALTH MANAGEMENT | BAY INVESTMENT GROUP | BARTLER WEALTH MANAGEMENT GROUP | BARONE FINANCIAL GROUP | BARNEY FINANCIAL SERVICES | BARKER FINANCIAL SERVICES | BARE WEALTH ADVISORS | BARBER FINANCIAL CO | BANKS WEALTH MANAGEMENT | BANK ON BUFFALO INVESTMENT ADVISORS | BALL WEALTH MANAGMENT | BALANCED WEALTH MANAGEMENT | BAILLIE & ASSOC WEALTH MANAGEMENT | BAILEY FINANCIAL SERVICES | BACKCOUNTRY INSURANCE SERVICES | AZEVEDO INVESTMENT CORPORATION | AXION FINANCIAL GROUP | AVH INVEST | AUGUSTINE FINANCIAL GROUP | ASTUTE WEALTH MANAGEMENT | ASTRA INVESTMENT SERVICES | ASSOCIATED INVESTOR SERVICES, INC. | ASSOCIATED FINANCIAL CONSULTANTS INC | ASSOCIATED FINANCIAL CONSULTANTS & INVES | ARMSTRONG ADVISORY GROUP | ARMSTRONG ADVISORY | ARKTOS WEALTH MANAGEMENT | ARCH WEALTH ADVISORS | ARCADE WEALTH ADVISORS | ARATA INVESTMENT MANAGEMENT | ARANEO TAX AND FINANCIAL | ANTHONY GIULIANO | ANN M. MOROCCO | ANDERSON-VANHORNE INSURANCE & FINANCIAL | ANDERSON-VANHORNE ASSOCIATES | ANDERSON WEALTH PLANNING | AMS FINANCIAL GROUP | AMERIWEALTH RETIREMENT SERVICES | AMERICAN WEALTH PARTNERS | AMERICAN WEALTH MANAGEMENT | AMERICAN NATIONAL BANK WEALTH MANAGEMENT | AMANDA M. BONOMI, E.A., CFP | ALTSTATT FINANCIAL STRATEGIES | ALTER RETIREMENT PLANNING | ALTA FINANCIAL | ALPHA ONE | ALPHA FINANCIAL SERVICES | ALPHA & OMEGA FINANCIAL SOLUTIONS | ALLLISON WEALTH MANAGMENT | ALLIED FINANCIAL SERVICES | ALLIED FINANCIAL PARTNERS | ALLIED ASSET MANAGEMENT | ALLIANT FINANCIAL SOLUTIONS | ALLIANCE WEALTH MANAGEMENT | ALLAIRE FINANCIAL STRATEGIES | ALL IN FINANCIAL | AGRIFAMILY FINANCIAL SOLUTIONS | AGP FINANCIAL | AGGREGATE WEALTH MANAGEMENT | AFR FINANCIAL GROUP | AFR FINANCIAL | ADVANTAGE FINANCIAL SERVICES | ADVANTAGE FINANCIAL GROUP | ADVANCE FINANCIAL GROUP | ADMIRAL FINANCIAL | ADG FINANCIAL SERVICES | ACERRA & ASSOCIATES | ACCENTRA INVESTMENT SERVICES | ACACIA WEALTH MANAGEMENT | ABELS FINANCIAL SERVICES LTD | ABD INSURANCE AND FINANCIAL SERVICES | A3 FINANCIAL PLANNING | A.M. GINSBERG ADVISORY GROUP | A.B. CAMPBELL & ASSOCIATES | A. KRANITZ ASSOCIATES | 88 PROSPERITY WEALTH MANAGEMENT | 457 PLAN SERVICE GROUP | 435 FINANCIAL | 3G FINANCIAL | 2ND OPINION PARTNERS | 21ST CENTURY SECURITIES | 20/20 WEALTH ADVISORS | 20/20 FINANCIAL GROUP | 2 SISTERS FINANCIAL | 1ST STRATEGIC WEALTH ADVISORS | 1ST STEP FINANCIAL | 1ST FINANCIAL SERVICES | 1865 WEALTH ADVISORS AT FC BANK | 1865 WEALTH ADVISORS AT ERIEBANK | 1865 WEALTH ADVISORS AT CNB BAN...
CRD#: 110518 / SEC#: 801-45628
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Contact information
Main Address
12325 Port Grace Blvd., La Vista, NE 68128-8204
Mailing Address
P.o. Box 460001, Papillion, NE 68046
Phone number
(402) 399-9111
Established
Firm type
Fiscal year end
# of Employees
4,468
Regulatory assets under management
| Total Number of Accounts | 211,150 |
| AUM (Assets Under Management) | $ 40,420,443,233 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2024 | ||
| 12/21/2022 |
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.
