Sandra B. Tawse
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 Boshears Tawse, who also goes by Sandra Carol Everett, Sandra Carol Potter, was a registered financial professional .
Sandra is a previously registered financial professional and started their career in finance in 2002. Sandra had worked at 4 firms and has passed the Series 63 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
August 17, 2009 - October 18, 2012
CAPE SECURITIES INC.
October 3, 2005 - August 13, 2009
SECURITIES SERVICE NETWORK, LLC
September 30, 2003 - September 30, 2005
CETERA WEALTH SERVICES, LLC
October 15, 2002 - June 27, 2003
A. G. EDWARDS & SONS, 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
CAPE SECURITIES INC.
CRD#: 7072 / SEC#: , 8-20747
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 2 |
| 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.
