Stephen M. Sander
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.
Stephen Marc Sander, who also goes by Stephen M Sander, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1987. Stephen had worked at 6 firms and has passed the Series 63, SIE, Series 7 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
October 5, 2010 - June 3, 2013
JEFFERIES HIGH YIELD TRADING, LLC
September 27, 2010 - December 31, 2015
JEFFERIES LLC
September 10, 2007 - January 13, 2009
JEFFERIES LLC
April 20, 2007 - October 2, 2007
NATIONAL SECURITIES CORPORATION
May 1, 2000 - May 25, 2005
JEFFERIES LLC
September 13, 1994 - May 12, 2000
SCHRODER & CO. INC.
December 11, 1992 - September 9, 1994
ALEX. BROWN & SONS INCORPORATED
October 20, 1987 - September 9, 1991
UBS FINANCIAL SERVICES 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: 11/3/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
JEFFERIES HIGH YIELD TRADING, LLC
CRD#: 47363 / SEC#: , 8-51771
Contact information
Documents
Disclosures
| Regulatory Event | 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.
