SS
Sandra L. Seiple
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CRD#: 2619185
SS
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 Lee Seiple, who also goes by Sandra Lee Tary, was a registered financial professional .
Sandra is a previously registered financial professional and started their career in finance in 1995. Sandra had worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Sandra Lee Tary
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. SANDRA SEIPLE FINANCIAL SERVICES, LLC-Y-MAUMEE, OH-DBA FOR SECURITIES BUSINESS & health insurance sales-REGISTERED REPRESENTATIVE-10/2006-30-30-SALES OF SECURITIES & insurance PRODUCTS.
2. NWO FINANCIAL SERVICES, INC-N-MAUMEE, OH-INSURANCE-AGENT-04/2016-10-10-SALES OF FIXED INSURANCE, HEALTH INSURANCE, AND LIFE INSURANCE.
3.Sandra L. Seiple, POA for Orville L. Tary-N-Maumee, OH-Durable POA-POA-11/2018-1-1-Durable POA of Attorney pertaining to the affairs of Orville L. Tary (father).
4.Sandra L. Seiple, Trustee, Linda L. Tary Irrevocable Trust-N-Maumee, OH-Trustee-Trustee-12/2018-20-10-Appointed as Trustee of Linda Tary's Irrevocable Trust.
5.Sandra L. Seiple, Manager, Linda Tary Limited-N-Maumee, OH-Manager-Manager-12/2018-40-15-Sole manager of Linda Tary's Limited. This appointment, in turn, makes me the Manager General partner of the Miller Family Limited Partnership.
6.Sandra L. Seiple, Managing General Partner, Miller Family Ltd. Partnership-N-Maumee, OH-Responsible for the operation of the Miller Family Farm-General Managing Partner-12/2018-40-15-Sole manager of Linda Tary Limited. Responsible for the Operation of the Miller Family Farm.
7.Sandra L. Seiple, Trustee, Orville L. Tary Revocable Trust-N-Maumee, OH-Trustee-Trustee-12/2018-10-0-Designated trustee of my father, Orville Tary's revocable trust.
8.Sandra L. Seiple, Trustee, Irrevocable Trust Agreement of Orville L. Tary-N-Maumee, OH-Trustee-Trustee-05/2019-20-10-Trustee for the Orville L. Tary Irrevocable Trust.
9.Flower Hospital Auxiliary-N-Maumee, OH-Participate in Social Functions-General Member-01/2018-4-4-Participate in Social Functions both as model in fashion events and attendee at other social functions.
10.Toledo Metropolitan Ladies Club-N-Maumee, OH-Participate in Social Functions-General Member-01/1996-4-4-Participate in Social Functions both as a model in fashion and an attendee at other social functions.
11.Toledo Opera Guild-N-Maumee, OH-Participate in Social Functions-General Member-01/1996-4-4-Participate in Social Functions both as a model in fashion and an attendee at other social functions.
12.Toledo Estate Planning Council-N-Maumee, OH-Estate Planning Industry-Member-2-2-Organization is for professionals related to estate planning industry.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
May 26, 2009 - March 30, 2023
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
RIA
CRD#: 13609
MAUMEE, OH
Past
March 31, 2003 - March 30, 2023
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
BD
CRD#: 13609
MAUMEE, OH
Past
January 8, 1998 - March 31, 2003
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
BD
CRD#: 2864
BRYAN, OH
Past
August 29, 1996 - January 29, 1998
VESTAX SECURITIES CORPORATION
BD
CRD#: 10332
HUDSON, OH
Past
May 26, 1995 - October 1, 1996
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
BF
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
BERTHEL FISHER & COMPANY | MORAMERICA FINANCIAL SERVICES, INC. | BERTHEL, FISHER & FLEISCHMAN FINANCIAL SERVICES, INC. | BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. | BERTHEL FISHER & COMPANY INC. | BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.
CRD#: 13609 / SEC#: 801-62277, 8-29426
RIA
Registered Investment Advisory firm - SEC (8/27/2003 Approved)Florida
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)Georgia
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)Illinois
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)Iowa
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)Kansas
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)New York
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)North Carolina
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)Ohio
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (1/15/2003 Cancelled)South Dakota
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)Texas
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)Vermont
Registered Investment Advisory firm - SEC (9/2/2003 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
BF
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
BERTHEL FISHER & COMPANY | MORAMERICA FINANCIAL SERVICES, INC. | BERTHEL, FISHER & FLEISCHMAN FINANCIAL SERVICES, INC. | BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. | BERTHEL FISHER & COMPANY INC. | BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.
CRD#: 13609 / SEC#: 801-62277, 8-29426
RIA
Registered Investment Advisory firm - SEC (8/27/2003 Approved)Florida
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)Georgia
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)Illinois
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)Iowa
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)Kansas
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)New York
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)North Carolina
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)Ohio
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (1/15/2003 Cancelled)South Dakota
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)Texas
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)Vermont
Registered Investment Advisory firm - SEC (9/2/2003 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
4201 42nd Street Ne Suite 100, Cedar Rapids, IA 52402
Mailing Address
P. O. Box 11340, Cedar Rapids, IA 52410-1340
Phone number
(319) 447-5700
Established
Iowa since 03/13/1974
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
100
SEC notice filing (46 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BERTHEL FISHER & COMPANY | 100% OWNER | |
| BERTHEL, THOMAS JOSEPH | CHAIRMAN OF THE BOARD/EXECUTIVE VICE PRESIDENT | 823289 |
| CHAPMAN, KIMBERLY KAREN EARLY | CHIEF COMPLIANCE OFFICER | 2527036 |
| CHRISTOFFERSON, ANDREW JAMES | CHIEF EXECUTIVE OFFICER/PRESIDENT | 3248381 |
| DAVENPORT, SHELLEY RAE | VICE PRESIDENT LEGAL & REGULATORY MATTERS | 2131376 |
| HOHN, JAMES RALPH | VICE PRESIDENT/TECHNOLOGY | 5413776 |
| MEEHAN, DANIEL GERARD | VICE PRESIDENT RECRUITING | 2264556 |
| MURPHY, RICHARD MAURICE | EXECUTIVE VICE PRESIDENT | 4893748 |
| NOETHEN, BRITTANY MICHELLE | CHIEF TECHNOLOGY OFFICER | 2610543 |
| RUPP, BRIAN MICHAEL | CHIEF FINANCIAL OFFICER/TREASURER | 6721718 |
| SCHAUL, JOANNA MARIE | CHIEF ADMINISTRATION OFFICER/SECRETARY | 4947759 |
| SWARTZENDRUBER, PAIGE NICHOLE | CHIEF BUSINESS DEVELOPMENT OFFICER | 4575768 |
| WILCOX, RANDY AUSTIN | VICE PRESIDENT COMPLIANCE/OSJ MANAGER | 4346998 |
Regulatory assets under management
| Total Number of Accounts | 3,408 |
| AUM (Assets Under Management) | $ 798,130,823 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 15 |
| Bond | 1 |
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.
