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Sandra Lynn Hutton

CRD# 1661132·Registered 1987 - 2014
Previously Registered: Being a previously registered professional could mean that Sandra 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.

Professional Summary

Sandra Lynn Hutton, who also goes by Sandra Lynn Chestnut, Sandra Lynn Howerton, Sandra H Hutton, Sandy Hutton, was a registered financial advisor. Sandra was a previously registered financial professional and started their career in finance 1987 - 2014. Sandra had worked at 11 firms and has passed the Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Sandra Lynn Chestnut, Sandra Lynn Howerton, Sandra H Hutton, Sandy Hutton

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

39 years in the financial services industry

Current & Past Employments

FURTHER LANE SECURITIES, L.P.·CRD# 38162
BD
New York, NY
June 23, 2011 - February 12, 2014
SOURCE CAPITAL GROUP, INC.·CRD# 36719
BD
Westport, CT
November 20, 2006 - June 22, 2011
INVESTORS CAPITAL CORP.·CRD# 30613
BD
Belleair, FL
March 29, 2004 - November 28, 2006
B. RILEY & CO., LLC·CRD# 40355
BD
Los Angeles, CA
January 2, 2002 - April 21, 2004
SUTRO & CO. INCORPORATED·CRD# 801
BD
San Francisco, CA
January 19, 1999 - January 10, 2002
TEJAS SECURITIES GROUP, INC.·CRD# 36705
BD
Austin, TX
September 9, 1997 - January 22, 1999
DABNEY/RESNICK/IMPERIAL, LLC·CRD# 24367
BD
Beverly Hills, CA
July 18, 1996 - September 18, 1997
HILLTOP SECURITIES INC.·CRD# 6220
BD
Dallas, TX
May 23, 1995 - July 18, 1996
COASTAL SECURITIES, INC.·CRD# 27834
BD
Houston, TX
January 18, 1994 - May 24, 1995
HARRIS SECURITIES, INC.·CRD# 16587
BD
Dallas, TX
February 5, 1991 - January 22, 1994
RAUSCHER PIERCE REFSNES, INC.·CRD# 6663
BD
Dallas, TX
April 29, 1987 - February 15, 1991

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Current Firm

FL
FURTHER LANE SECURITIES, L.P.

ECAPITALIST FINANCIAL SERVICES, L.P. | FURTHER LANE SECURITIES, L.P. | FARSIGHT FINANCIAL SERVICES, L.P.

CRD#: 38162 / SEC#: 8-48207
BD
Terminated by SEC on 05/18/2014

Contact Information

Established

Delaware since 01/17/1995

Firm Type

Partnership

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
OSPREY SECURITIES CORPGENERAL PARTNER—
CALAMUNCI, ROBERT JOSEPH SRCEO / CCO1618899
SPINDEL, HOWARDFINANCIAL AND OPERATIONS PRINCIPAL708042

Disclosures

Regulatory Event

4

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed May 1987About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Apr 1987About the Series 7 exam

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CRS (Client Relationship Summary)

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

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