Michael S. Sandos

SANDOS FINANCIAL

South Jordan, UT

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CRD#: 2417233

Professional summary

Michael Stephen Sandos, who also goes by Michael S Sandos, is a registered financial advisor currently at SANDOS FINANCIAL located in South Jordan, Utah.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Michael has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael S Sandos

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.

1)MICHAEL SANDOS INDEPENDENT INSURANCE AGENT; NON-INVESTMENT RELATED; 1309 E. SHADY MAPLE CV. SLC, UT 84117; FIXED INSURANCE SALES THROUGH VARIOUS INSURANCE CO. L,H,LTC; INDEPENDENT INSURANCE AGENT #79894; START DATE NOV 16, 1993; DEVOTE 5 HOURS PER MONTH; DEVOTE 5 HOURS PER MONTH DURING SECURITIES HOURS 2)KOA KAJUKENBO OHANA ASSOCIATION, MARTIAL ARTS ASSOCIATION; NON-INVESTMENT RELATED; 1309 E. SHADY MAPLE CV. SLC, UT 84117; MARTIAL ARTS HISTORICAL EDUCATION, SEMINARS, TOURNAMENTS; CHAIRMAN/FOUNDER; START DATE JAN-2014; DEVOTE 2 HOURS PER MONTH; DEVOTE 0 HOUR PER MONTH DURING SECURITIES HOURS; TEACH MARTIAL ARTS & ENCOURAGE MEMBERS TO PRACTICE, SHARE KNOWLEDGE, ATTEND SEMINARS, TOURNAMENTS, EVENTS 3)BEAR BODY; NON-INVESTMENT RELATED; 1309 E. SHADY MAPLE CV. SLC, UT 84117; DEVELOPMENT AND EVENTUAL PRODUCTION OF PRODUCTS (IE: Wallets, Bags, Tool belts); OWNER; START DATE MAR 2018; DEVOTE 2 HOURS PER MONTH; DEVOTE 0 HOUR PER MONTH DURING SECURITIES HOURS; DESIGNER/CREATOR OF PRODUCTS 4)AUTHOR SELF HELP BOOKS; 1309 E. SHADY MAPLE CV. SLC, UT 84117; BOOK PUBLICATION & SALES; AUTHOR; START DATE OCT 2024; DEVOTE 16 HOURS PER MONTH; DEVOTE 1 HOUR PER MONTH DURING SECURITIES HOURS; BOOK AUTHOR.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Stephen Sandos's CRS (Customer Relationship Summary).

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

Current

May 9, 2018 - Present

SANDOS FINANCIAL

RIA

CRD#: 286347

South Jordan, UT

Past

June 10, 2016 - May 8, 2018

ALLEGIS INVESTMENT ADVISORS, LLC

RIA

CRD#: 157314

Murray, UT

Past

June 10, 2016 - March 28, 2019

ALLEGIS INVESTMENT SERVICES, LLC

CRD#: 168557

Murray, UT

Past

October 5, 2010 - May 19, 2016

CAPITAL FINANCIAL SERVICES, INC.

RIA

CRD#: 8408

MURRAY, UT

Past

March 7, 2007 - May 19, 2016

CAPITAL FINANCIAL SERVICES, INC.

CRD#: 8408

MURRAY, UT

Past

June 16, 2004 - March 7, 2007

UNITED HERITAGE FINANCIAL SERVICES, INC.

CRD#: 35316

MURRAY, UT

Past

October 15, 2001 - May 25, 2004

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

MURRAY, UT

Past

January 14, 1998 - May 25, 2004

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

June 6, 1994 - January 20, 1998

WMA SECURITIES, INC.

CRD#: 32625

DULUTH, GA

Past

November 2, 1993 - June 6, 1994

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

PHILADELPHIA, PA

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Utah
(5/9/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/13/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/29/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 10/28/1993

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 11/17/1995

Investment Company Products/Variable Contracts Principal Examination

Current Firm

SANDOS FINANCIAL

CRD#: 286347 / SEC#:

Colorado

Registered Investment Advisory firm - (7/20/2023 Approved)

Louisiana

Registered Investment Advisory firm - (2/2/2017 Approved)

Texas

Registered Investment Advisory firm - (11/7/2023 Terminated)

Utah

Registered Investment Advisory firm - (1/10/2017 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

South Jordan, UT

Mailing Address

Phone number

(801) 901-0049

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	147
AUM (Assets Under Management)	$ 12,800,000

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.

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Firm Stability Insights

Michael S. Sandos

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Stephen Sandos's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALLEGIS INVESTMENT ADVISORS, LLC

ALLEGIS INVESTMENT SERVICES, LLC

CAPITAL FINANCIAL SERVICES, INC.

CAPITAL FINANCIAL SERVICES, INC.

UNITED HERITAGE FINANCIAL SERVICES, INC.

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

WMA SECURITIES, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/13/1998

Series 63

Date: 10/29/1993

SIE

Date: 10/1/2018

Series 6

Date: 10/28/1993

Series 26

Date: 11/17/1995

Current Firm

SANDOS FINANCIAL

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SANDOS FINANCIAL

TRUST BUT VERIFY

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