Sandra L. Dershem-vega
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 Lynne Dershem-vega, who also goes by Sandra Lynne Dershemvega, Sandy Dershemvega, Sandra Lynne Dershem, Sandy Dershem, was a registered financial professional .
Sandra is a previously registered financial professional and started their career in finance in 1996. Sandra had worked at 4 firms and has passed the Series 65, Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 6, Series 14, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 2, 2026 - May 6, 2026
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 13, 2025 - January 21, 2026
NORTHLAND SECURITIES, INC.
December 13, 2013 - December 11, 2018
COUNTRY CLUB FINANCIAL SERVICES, LLC
July 21, 2003 - November 26, 2013
COUNTRY CLUB FINANCIAL SERVICES, LLC
May 3, 2002 - October 31, 2025
COUNTRY CLUB FINANCIAL SERVICES, LLC
February 7, 1996 - November 1, 2001
MONY SECURITIES CORPORATION
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR, CHAIRMAN OF THE BOARD, PRESIDENT, AND CHIEF EXECUTIVE OFFICER | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
| ZOLPER, ANDREW CANNING | DIRECTOR | 5304616 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
Red Flags
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