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SF

Sandra J. Familet

WEILD & CO.
New York, NY 10169
Some features on this profile are disabled
CRD#: 1994479
SF

Professional summary

Sandra Joy Familet, who also goes by Sandra J Famiglietti, Sandra Famiglietti, Famiglietti Familet, Sandy Familet, is a registered financial professional currently at WEILD & CO. located in New York, New York.

Sandra is registered as a RR (Registered Representative) and started their career in finance in 1989. Sandra has worked at 5 firms and has passed the Series 63, Series 82TO, SIE, Series 3, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sandra J Famiglietti | Sandra Famiglietti | Famiglietti Familet | Sandy Familet

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) - BD

Click below to view Sandra Joy Familet's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

January 6, 2017 - Present

WEILD & CO.

Office #1: 230 Park Avenue 3rd And 4th Floors, New York, NY 10169
BD
CRD#: 132398
New York, NY
Past

March 18, 2016 - December 31, 2016

ZANBATO SECURITIES LLC

BD
CRD#: 279028
New York, NY
Past

December 13, 2010 - March 11, 2016

WEILD & CO.

BD
CRD#: 132398
BOULDER, CO
Past

March 16, 2005 - September 11, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
SAN FRANCISCO, CA
Past

May 22, 1998 - May 30, 2003

BLACKROCK INVESTMENTS, LLC

BD
CRD#: 38642
NEW YORK, NY
Past

April 22, 1996 - June 12, 1997

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

October 25, 1989 - February 1, 1996

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(5/5/2017)
RR
California
(5/5/2017)
RR
Colorado
(1/6/2017)
RR
Connecticut
(5/5/2017)
RR
Delaware
(5/5/2017)
RR
District of Columbia
(5/5/2017)
RR
Florida
(1/6/2017)
RR
Georgia
(5/5/2017)
RR
Illinois
(5/5/2017)
RR
Kentucky
(5/5/2017)
RR
Maryland
(5/23/2018)
RR
Massachusetts
(5/5/2017)
RR
Minnesota
(5/5/2017)
RR
Nevada
(5/5/2017)
RR
New Jersey
(5/5/2017)
RR
New York
(1/6/2017)
RR
North Carolina
(5/5/2017)
RR
Ohio
(5/5/2017)
RR
Oregon
(5/5/2017)
RR
Pennsylvania
(5/5/2017)
RR
Texas
(9/21/2017)
RR
Utah
(5/5/2017)
RR
Virginia
(5/5/2017)
RR
Washington
(5/5/2017)
RR
Wyoming
(5/5/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 2/21/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 10/1/1992
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 10/21/1989
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/24/2005
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

W&
WEILD & CO.
CMA PARTNERS, LLC | WEILD CAPITAL, LLC | WEILD & CO., LLC | WEILD & CO. | THE NATIONAL RESEARCH STANDARD, INC. | THE NATIONAL RESEARCH STANDARD | THE NATIONAL RESEARCH EXCHANGE | ISSUWORKS CAPITAL, LLC

CRD#: 132398 / SEC#: , 8-66593

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
777 29th Street Suite 402, Boulder, CO 80303
Mailing Address
777 29th Street Suite 402, Boulder, CO 80303
Phone number
(303) 223-9621
Established
New York since 10/22/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
WEILD & CO., INC.SOLE MEMBER
ONESTO, RICHARD ERNESTFINOP2453096
WEILD, DAVID IVMEMBER, CHAIRMAN AND CEO1336395
WEILD, DAVID IVCHIEF COMPLIANCE OFFICER, AML PRINCIPAL1336395

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

WEILD & CO.

CRD#: 132398New York, NY 10169

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