Dana M. Sandoval
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.
Dana Marie Sandoval, CFP®, who also goes by Dana Marie Luter, was a registered financial professional .
Dana is a previously registered financial professional and started their career in finance in 1995. Dana had worked at 5 firms and has passed the Series 63 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
Start date: 2003
Experience
April 5, 2019 - December 31, 2021
TCI FOUNDATION INC.
June 4, 2015 - December 31, 2023
TCI WEALTH ADVISORS, INC.
October 24, 2006 - November 5, 2010
FIRST WESTERN INVESTMENT ADVISORS, LLC
August 9, 2006 - December 14, 2006
REBER/RUSSELL CO
November 16, 1995 - January 17, 1997
ARK FUNDS DISTRIBUTORS, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TCI FOUNDATION INC.
CRD#: 169921 / SEC#: 801-79117
Contact information
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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