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AS

Alex Sandhaus

IMST DISTRIBUTORS
New York, NY 10022
Some features on this profile are disabled
CRD#: 2536620
AS

Professional summary

Alex Sandhaus, who also goes by Alex M Sandhaus, Alex Sandhaus, is a registered financial professional currently at IMST DISTRIBUTORS, LLC located in New York, New York.

Alex is registered as a RR (Registered Representative) and started their career in finance in 1994. Alex has worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alex M Sandhaus | Alex Sandhaus

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Alex Sandhaus's CRS (Customer Relationship Summary).
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

April 24, 2026 - Present

IMST DISTRIBUTORS, LLC

Office #1: 10 E 53rd Street 32nd Floor, New York, NY 10022
BD
CRD#: 130745
New York, NY
Past

April 3, 2024 - April 24, 2026

QUASAR DISTRIBUTORS, LLC

BD
CRD#: 103848
New York, NY
Past

June 4, 2014 - January 22, 2019

OPTIMA SECURITIES LLC

BD
CRD#: 168881
NEW YORK, NY
Past

October 29, 2004 - September 27, 2011

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

June 21, 2000 - October 19, 2004

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

September 29, 1994 - June 22, 2000

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(4/27/2026)
RR
Florida
(4/27/2026)
RR
New York
(4/24/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 9/16/2024
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 3/7/1996
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 9/20/1995
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 9/28/1994
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

ID
IMST DISTRIBUTORS, LLC
FORESIDE DISTRIBUTION PARTNERS, LLC | PNC FUND DISTRIBUTOR, LLC | PNC FUND DISTRIBUTOR, INC. | MERCANTILE INVESTMENT SERVICES, INC. | IMST DISTRIBUTORS, LLC

CRD#: 130745 / SEC#: , 8-66389

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
PREMIUM
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Contact information

Main Address
190 Middle Street Suite 301, Portland, ME 04101
Mailing Address
190 Middle Street Suite 301, Portland, ME 04101
Phone number
(866) 251-6920
Established
Delaware since 01/01/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FORESIDE DISTRIBUTORS, LLCSOLE MEMBER
COWAN, TERESA MARIA KAZMIERSKIPRESIDENT/MANAGER/DIRECTOR1544189
EDELMAN, GABRIELSECRETARY6654419
LA FOND, SUSAN LORENECHIEF COMPLIANCE OFFICER / VP / TREASURER4512785
LANZA, CHRISTOPHER CONTEVICE PRESIDENT2184856
MACCHIA, KATE SCHENDELVICE PRESIDENT4863973
SOMMERS, WESTONCFO/FINOP5290145

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.

Company Information

IMST DISTRIBUTORS, LLC

CRD#: 130745New York, NY 10022

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