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BS

Bret L. Sander

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CRD#: 2187325
BS

Professional summary

Bret Lee Sander was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Bret is a previously registered financial professional and started their career in finance in 1991. Prior to being barred, Bret had worked at 5 firms, which includes CONTINENTAL CAPITAL INVESTMENT SERVICES INC., LEGACY FINANCIAL SERVICES INC., WMA SECURITIES INC., THE PRUDENTIAL INSURANCE COMPANY OF AMERICA, PRUCO SECURITIES LLC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 9, 1997 - September 15, 1998

CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.

BD
CRD#: 2864
BRYAN, OH
Past

January 3, 1997 - October 9, 1997

LEGACY FINANCIAL SERVICES, INC.

BD
CRD#: 38697
PETALUMA, CA
Past

June 23, 1995 - December 31, 1996

WMA SECURITIES, INC.

BD
CRD#: 32625
DULUTH, GA
Past

October 27, 1991 - December 10, 1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

BD
CRD#: 680
NEWARK, NJ
Past

October 27, 1991 - July 18, 1995

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/22/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 10/22/1991
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 9/27/1995
Investment Company Products/Variable Contracts Principal Examination

Current Firm

CC
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
CONTINENTAL CAPITAL INVESTMENT SERVICES | SKY INVESTMENTS, INC. | MUTUAL FUNDS INVESTORS CORP. | MFI INVESTMENTS CORP. | CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.

CRD#: 2864 / SEC#: , 8-7865

BD
Terminated by SEC on 06/07/2003
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Contact information

Main Address
Mailing Address
Phone number
Established
Ohio since 09/10/1959
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CONTINENTAL CAPITAL CORP.OWNER
AYLING, JOHN RUSSELLOFFICER9294
BAKER, TAMARA ELAINEOFFICER/MUNICIPAL PRINCIPAL3017864
CAMERON, JOHN WILLIAMOFFICER /SR. VICE PRESIDENT1253957
GRUVER, DONALD LESLIECOMPLIANCE OFFICER / OPTIONS PRINCIPAL2266415
KOWALSKI, DENNIS JCONTROLLER/CHIEF FINANCIAL OFFICER/FINANCIAL PRINCIPAL2526293
LOSBY, THOMAS DAVIDCHIEF OPERATIONS OFFICER /PRESIDENT1301638
NOETHEN, BRITTANY MICHELLEVICE PRESIDENT/COMMUNICATIONS AND INFORMATION SYSTEMS2610543

Disclosures

Regulatory Event5
Civil Event1
Arbitration1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.

CRD#: 2864

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