Sanford S. Zweifach
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.
Sanford S Zweifach, who also goes by Sanford S Zweifach Mr., was a registered financial professional .
Sanford is a previously registered financial professional and started their career in finance in 1999. Sanford had worked at 3 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 1, 2006 - March 27, 2012
FINANCIAL WEST GROUP
August 15, 2003 - February 9, 2004
ALDER CREEK CAPITAL, LLC
May 28, 2003 - August 13, 2003
FINANCIAL WEST GROUP
August 26, 1999 - February 14, 2003
BAY CITY CAPITAL BD LLC
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
FINANCIAL WEST GROUP
CRD#: 16668 / SEC#: 801-57393, 8-34448
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 73 |
| Arbitration | 7 |
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.
