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SH

Sandra L. Hutton

Some features on this profile are disabled
CRD#: 1661132
SH

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 Lynn Hutton, who also goes by Sandra Lynn Chestnut, Sandra Lynn Howerton, Sandra H Hutton, Sandy Hutton, was a registered financial professional .

Sandra is a previously registered financial professional and started their career in finance in 1987. Sandra had worked at 11 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sandra Lynn Chestnut | Sandra Lynn Howerton | Sandra H Hutton | Sandy Hutton

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

June 23, 2011 - February 12, 2014

FURTHER LANE SECURITIES, L.P.

BD
CRD#: 38162
NEW YORK, NY
Past

November 20, 2006 - June 22, 2011

SOURCE CAPITAL GROUP, INC.

BD
CRD#: 36719
WESTPORT, CT
Past

March 29, 2004 - November 28, 2006

INVESTORS CAPITAL CORP.

BD
CRD#: 30613
BELLEAIR, FL
Past

January 2, 2002 - April 21, 2004

B. RILEY & CO., LLC

BD
CRD#: 40355
LOS ANGELES, CA
Past

January 19, 1999 - January 10, 2002

SUTRO & CO. INCORPORATED

BD
CRD#: 801
SAN FRANCISCO, CA
Past

September 9, 1997 - January 22, 1999

TEJAS SECURITIES GROUP, INC.

BD
CRD#: 36705
AUSTIN, TX
Past

July 18, 1996 - September 18, 1997

DABNEY/RESNICK/IMPERIAL, LLC

BD
CRD#: 24367
BEVERLY HILLS, CA
Past

May 23, 1995 - July 18, 1996

HILLTOP SECURITIES INC.

BD
CRD#: 6220
DALLAS, TX
Past

January 18, 1994 - May 24, 1995

COASTAL SECURITIES, INC.

BD
CRD#: 27834
HOUSTON, TX
Past

February 5, 1991 - January 22, 1994

HARRIS SECURITIES, INC.

BD
CRD#: 16587
DALLAS, TX
Past

April 29, 1987 - February 15, 1991

RAUSCHER PIERCE REFSNES, INC.

BD
CRD#: 6663
DALLAS, TX

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
RR
Series 63
Date: 5/1/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/25/1987
General Securities Representative Examination

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
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 01/17/1995
Firm type
Partnership
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

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

Disclosures

Regulatory Event4

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.

Company Information

FURTHER LANE SECURITIES, L.P.

CRD#: 38162

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