Joseph P. Sands
Professional summary
Joseph Paul Sands, who also goes by Joe Sands, is a registered financial professional currently at CORPORATE FINANCE SECURITIES, INC. located in Aliso Viejo, California.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 1991. Joseph has worked at 9 firms and has passed the Series 63, Series 79TO, Series 82TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph Paul Sands's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 7, 2017 - Present
CORPORATE FINANCE SECURITIES, INC.
Office #1: 120 Vantis Drive Suite 300, Aliso Viejo, CA 92656March 26, 2014 - June 29, 2016
STILLPOINT CAPITAL, LLC
July 21, 2009 - May 1, 2012
MORGAN KEEGAN & COMPANY, LLC
December 18, 1998 - December 20, 1999
QUEST CAPITAL STRATEGIES, INC.
December 11, 1995 - December 13, 1996
AMERICAN GENERAL SECURITIES INCORPORATED
January 20, 1993 - January 12, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 14, 1992 - December 1, 1992
PAULSON INVESTMENT COMPANY LLC
May 5, 1992 - August 21, 1992
HANOVER, STERLING & COMPANY LTD.
August 21, 1991 - May 21, 1992
STRATTON OAKMONT 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
(2/7/2017)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsFINRA
Current Firm
CORPORATE FINANCE SECURITIES, INC.
CRD#: 143453 / SEC#: , 8-67566
Contact information
FINRA licenses (28 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ACADEMY ASSOCIATES LLC | SHAREHOLDER | |
| CENTAURUS PARTNERS, LLC | SHAREHOLDER | |
| CORPORATE FINANCE ASSOCIATES MINNESOTA, INC. | SHAREHOLDER | |
| CORPORATE FINANCE ASSOCIATES NEW ENGLAND, LLC | SHAREHOLDER | |
| CORPORATE FINANCE ASSOCIATES, INC. A TEXAS CORPORATION | SHAREHOLDER | |
| CORPORATE FINANCE ASSOCIATES, LLC | SHAREHOLDER | |
| HEYDENRYCH FAMILY TRUST | SHAREHOLDER | |
| POWELL, PATRICK SCOTT | SHAREHOLDER | 5778669 |
| AARKENSTONE QUEST, LLC | SHAREHOLDER | |
| HEYDENRYCH, HELENA JOANNA | PRINCIPAL OPERATIONS OFFICER, TRUSTEE | 5305105 |
| HEYDENRYCH, PETER MICHAEL | PRINCIPAL OPERATIONS OFFICER,FINANCIAL AND OPERATIONS PRINCIPAL, TRUSTEE | 5304971 |
| SINYARD, DAVID BLAIR | CCO, AMLCO | 5122340 |
| ST. GERMAIN, ROBERT PAUL | CEO, CHAIRMAN | 5384187 |
Red Flags
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