Todd E. Sanders
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.
Todd Edward Sanders was a registered financial professional .
Todd is a previously registered financial professional and started their career in finance in 1989. Todd had worked at 8 firms and has passed the Series 63, Series 7, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 28, 1998 - January 29, 2001
STONEBRIAR SECURITIES, INC.
June 26, 1996 - November 23, 1998
FIRST SECURITIES USA, INC.
March 15, 1996 - June 26, 1996
FIRST ASSOCIATED SECURITIES GROUP, INC.
June 30, 1995 - March 21, 1996
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
November 3, 1993 - March 10, 1994
UBS FINANCIAL SERVICES INC.
October 26, 1992 - November 5, 1993
MORGAN STANLEY DW INC.
June 29, 1989 - October 31, 1991
FIRST OF MICHIGAN CORPORATION
March 22, 1989 - May 13, 1989
VANDERBILT SECURITIES, 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
Current Firm
STONEBRIAR SECURITIES, INC.
CRD#: 19193 / SEC#: , 8-37262
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
