Sandra K. Aull
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 Kay Aull, who also goes by Sandra K Aull, Sandy Aull, Sandra Kay Blandford, was a registered financial professional .
Sandra is a previously registered financial professional and started their career in finance in 1992. Sandra had worked at 11 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 14, 2011 - September 3, 2014
EAGLE STRATEGIES LLC
November 10, 2011 - September 3, 2014
NYLIFE SECURITIES LLC
November 3, 2010 - October 14, 2011
LPL FINANCIAL LLC
November 3, 2010 - October 14, 2011
LPL FINANCIAL LLC
May 22, 2006 - November 4, 2010
CHASE INVESTMENT SERVICES CORP.
May 22, 2006 - November 4, 2010
CHASE INVESTMENT SERVICES CORP.
January 7, 2004 - April 19, 2006
J.J.B. HILLIARD, W.L. LYONS, LLC
October 7, 1999 - April 19, 2006
J.J.B. HILLIARD, W.L. LYONS, LLC
March 5, 1999 - April 19, 1999
UVEST FINANCIAL SERVICES GROUP, INC.
February 9, 1998 - June 16, 1998
CONSECO SECURITIES, INC.
August 19, 1994 - February 6, 1998
COMPULIFE INVESTOR SERVICES, INC.
November 11, 1992 - January 14, 1994
MML INVESTORS SERVICES, LLC
May 18, 1992 - October 29, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
May 18, 1992 - October 29, 1992
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
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
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 111,361 |
| AUM (Assets Under Management) | $ 25,395,380,570 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 04/25/2024 | ||
| 12/20/2023 |
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.
