Joseph Sandford
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.
Joseph Sandford, who also goes by Sandford Joseph, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1994. Joseph had worked at 5 firms and has passed the Series 63, Series 99TO, Series 72, SIE, Series 7, Series 9, Series 10, Series 27 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 5, 2019 - August 14, 2023
MERRILL LYNCH PROFESSIONAL CLEARING CORP.
October 3, 2018 - October 20, 2025
BOFA SECURITIES, INC.
October 14, 1999 - July 1, 2002
MERRILL LYNCH FINANCIAL SERVICES OF PUERTO RICO, INC.
May 8, 1998 - November 23, 1999
MERRILL LYNCH GOVERNMENT SECURITIES OF PUERTO RICO, INC.
March 24, 1994 - October 20, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 72
Date: 1/2/2023
Government Securities Representative ExaminationSeries 8
Date: 8/26/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MERRILL LYNCH PROFESSIONAL CLEARING CORP.
CRD#: 16139 / SEC#: , 8-33359
Contact information
Documents
Disclosures
| Regulatory Event | 55 |
| Arbitration | 1 |
Red Flags
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