Sandra R. Garrett
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 R Garrett, who also goes by Sandra Rose Garrett, Sandy Garrett, was a registered financial professional .
Sandra is a previously registered financial professional and started their career in finance in 2001. Sandra had worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 26, 2020 - December 20, 2022
GREAT POINT CAPITAL LLC
August 8, 2019 - December 9, 2019
CFD INVESTMENTS, INC.
June 26, 2017 - June 26, 2019
RBC CAPITAL MARKETS, LLC
January 30, 2017 - July 10, 2017
SANCTUARY SECURITIES, INC.
January 3, 2017 - February 6, 2017
STIFEL, NICOLAUS & COMPANY, INCORPORATED
April 16, 2012 - April 16, 2012
J.J.B. HILLIARD, W.L. LYONS, LLC
May 16, 2001 - December 31, 2016
CITY SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
GREAT POINT CAPITAL LLC
CRD#: 114203 / SEC#: , 8-53402
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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