Sandra C. Brown
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 Chappell Brown, who also goes by Sandy Brown, was a registered financial professional .
Sandra is a previously registered financial professional and started their career in finance in 1990. Sandra had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 7, 2011 - December 31, 2015
ARQUE CAPITAL, LTD.
October 7, 2010 - December 1, 2016
ARQUE CAPITAL, LTD.
September 27, 2010 - November 15, 2010
ARQUE CAPITAL, LTD.
January 13, 2009 - January 16, 2009
TRANSAMERICA FINANCIAL ADVISORS, INC.
March 30, 2005 - August 9, 2005
TRANSAMERICA FINANCIAL ADVISORS, LLC
December 21, 1999 - January 16, 2009
TRANSAMERICA FINANCIAL ADVISORS, INC.
May 29, 1999 - January 16, 2009
TRANSAMERICA SECURITIES SALES CORPORATION
April 30, 1992 - February 25, 1994
BA INVESTMENT SERVICES, INC.
August 27, 1990 - October 10, 1990
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
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
ARQUE CAPITAL, LTD.
CRD#: 121192 / SEC#: 801-70283, 8-65390
Contact information
FINRA licenses (1 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ARQUE ORION WINTER SKIES, LTD. | PARENT COMPANY | |
| KUWABARA, AUDREY MARI | PRESIDENT & CEO (INTERIM) | 5007219 |
| KUWABARA, AUDREY MARI | CHIEF RISK OFFICER/GENERAL COUNSEL/SECRETARY/CHIEF COMPLIANCE OFFICER | 5007219 |
| NING, MICHAEL CHENG | PRESIDENT & CEO | 1229733 |
| ROACH, ROBERT GARFIELD JR | FINOP | 2731222 |
| SCANLON, TIMOTHY JOSEPH | DIRECTOR - PRIVATE CLIENT DIVISION | 1968597 |
| SULLIVAN, JAMES CHESTER | OPTIONS PRINCIPAL | 804918 |
Regulatory assets under management
| Total Number of Accounts | 9 |
| AUM (Assets Under Management) | $ 6,000,000 |
Disclosures
| Regulatory Event | 5 |
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.
