Sandra I. Baez
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 Ivette Baez, who also goes by Sandra I Baez, Sandra Baez, Sandra IVette Baez Garcia, was a registered financial professional .
Sandra is a previously registered financial professional and started their career in finance in 1995. Sandra had worked at 12 firms and has passed the Series 66, Series 7TO, Series 79TO, SIE, Series 7, Series 10, Series 9, Series 24, Series 4 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
December 13, 2024 - September 18, 2025
TRUIST INVESTMENT SERVICES, INC.
October 3, 2024 - November 5, 2024
BALANZ CAPITAL USA LLC
August 18, 2021 - August 31, 2021
CITIGROUP GLOBAL MARKETS INC.
June 1, 2016 - May 5, 2021
WELLS FARGO CLEARING SERVICES, LLC
June 1, 2016 - May 5, 2021
WELLS FARGO CLEARING SERVICES, LLC
July 10, 2012 - October 1, 2015
RBC CAPITAL MARKETS, LLC
April 9, 2012 - October 1, 2015
RBC CAPITAL MARKETS, LLC
July 14, 2010 - October 4, 2011
WELLS FARGO CLEARING SERVICES, LLC
June 2, 2008 - July 2, 2010
CREAND SECURITIES
May 7, 2003 - June 12, 2008
ATLAS ONE FINANCIAL GROUP, LLC
February 13, 2003 - May 6, 2003
SYNERGY INVESTMENT GROUP, LLC
September 17, 2002 - February 13, 2003
LAFISE SECURITIES LLC
October 6, 2000 - August 9, 2002
LEHMAN BROTHERS INC.
February 28, 2000 - April 19, 2000
SANTANDER SECURITIES LLC
November 16, 1995 - February 28, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 7TO
Date: 10/3/2024
General Securities Representative ExaminationSeries 79TO
Date: 10/3/2024
Investment Banking Registered Representative ExaminationSeries 8
Date: 3/12/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TRUIST INVESTMENT SERVICES, INC.
CRD#: 17499 / SEC#: 801-56443, 8-35355
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRUIST FINANCIAL CORPORATION | HOLDING COMPANY | |
| CALLENDER, EVELYN MICHELLE | TREASURER AND CHIEF FINANCIAL OFFICER | 7591739 |
| CENTENO, PATRICIA REED | DEPUTY CHIEF COMPLIANCE OFFICER | 2239528 |
| COBBS, JENI RACHEL | COMPLIANCE OFFICER | 4354424 |
| CRAM, BRYAN SCOTT | VICE CHAIRMAN/EXECUTIVE VICE PRESIDENT | 2723431 |
| DOWHOWER, BRIAN SEAN | CHAIRMAN/PRESIDENT/CHIEF EXECUTIVE OFFICER | 4202574 |
| DUNN, JEFFREY TODD | DIRECTOR/EXECUTIVE VICE PRESIDENT | 4228631 |
| HECHTLINGER, SUSAN | DIRECTOR/CHIEF COMPLIANCE OFFICER/SENIOR VICE PRESIDENT | 2890466 |
| MAVICO, CECILIA BAUTE | SENIOR VICE CHAIRMAN/CHIEF OPERATING OFFICER/CORPORATE SECRETARY | 3261303 |
| NORMAN, ANNMARIE CARROLL | COMPLIANCE OFFICER | 2993726 |
| TYSON, TONYA | CHIEF OPERATIONS OFFICER/SENIOR VICE PRESIDENT/ASSISTANT CORPORATE SECRETARY | 1987448 |
| WEHINGER, LEAH ROWE | DIRECTOR/EXECUTIVE VICE PRESIDENT | 1719505 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 14 |
| Bond | 2 |
Red Flags
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