Mike S. Sanda
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.
Mike Scott Sanda, who also goes by Michael Scott Sanda, was a registered financial professional .
Mike is a previously registered financial professional and started their career in finance in 1995. Mike had worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 15, 2009 - April 20, 2018
LIPSCOMB INVESTMENT GROUP, LLC
April 23, 2003 - July 15, 2009
WELLS FARGO CLEARING SERVICES, LLC
June 5, 2001 - July 15, 2009
WELLS FARGO CLEARING SERVICES, LLC
November 21, 1997 - June 4, 2001
THE ROBINSON-HUMPHREY COMPANY, LLC
August 29, 1995 - January 26, 1998
FIRST UNION BROKERAGE SERVICES, INC.
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
Current Firm
LIPSCOMB INVESTMENT GROUP, LLC
CRD#: 131869 / SEC#: 801-71180
Contact information
Regulatory assets under management
| Total Number of Accounts | 379 |
| AUM (Assets Under Management) | $ 78,612,000 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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