Sanford L. Herzfeld
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 Lee Herzfeld, who also goes by Sandy Herzfeld, was a registered financial professional .
Sanford is a previously registered financial professional and started their career in finance in 1972. Sanford had worked at 8 firms and has passed the Series 63, Series 41, Series 1, Series 24 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 3, 2012 - October 15, 2013
AXOS CLEARING LLC
August 27, 2010 - June 23, 2011
SEIDEL & CO., LLC
September 9, 2005 - April 11, 2006
PERSHING LLC
May 1, 2003 - September 9, 2005
PERSHING ADVISOR SOLUTIONS LLC
August 16, 1993 - June 30, 2004
PERSHING LLC
October 28, 1987 - April 2, 1991
FINANCIAL SQUARE PARTNERS
September 2, 1986 - December 15, 1987
MOSELEY SECURITIES CORPORATION
July 2, 1982 - July 8, 1986
TP ICAP GLOBAL MARKETS AMERICAS LLC
August 29, 1972 - July 13, 1982
MABON, NUGENT & CO.
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
Series 41
Date: 5/4/1985
NYSE Allied Member ExaminationSeries 1
Date: 4/21/1969
Registered Representative ExaminationSeries 40
Date: 3/31/1977
Registered Principal ExaminationCurrent Firm
AXOS CLEARING LLC
CRD#: 117176 / SEC#: , 8-53595
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AXOS SECURITIES, LLC | SOLE OWNER | |
| CROW, DAVID MICHAEL | PRESIDENT, AXOS CLEARING, LLC | 4370102 |
| FAUCHER, KATHY NOEL | AML OFFICER | 6323326 |
| GREEN, HOWARD MICHAEL | CHIEF FINANCIAL OFFICER | 2535812 |
| KINSELLA, SHAWN ROBERT | CHIEF COMPLIANCE OFFICER | 5793966 |
| PLUMMER, JEFFREY KENT | PRINCIPAL OPERATIONS OFFICER | 4576783 |
| SHIRMANG, STEPHEN LOWELL | CHIEF OPERATIONS OFFICER | 3083416 |
Disclosures
| Regulatory Event | 13 |
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.
