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SS

Sandra L. Schwartz

D.H. HILL SECURITIES, LLLP
Hartland, WI 53029
Some features on this profile are disabled
CRD#: 2730052
SS

Professional summary

Sandra Lynn Schwartz, who also goes by Sandra Lynn Kubly, Sandra Kubly, Sandy Lynn Kubly, is a registered financial professional currently at D.H. HILL SECURITIES, LLLP located in Hartland, Wisconsin.

Sandra is registered as a RR (Registered Representative) and started their career in finance in 1996. Sandra has worked at 7 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sandra Lynn Kubly | Sandra Kubly | Sandy Lynn Kubly

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sandra Lynn Schwartz's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

November 13, 2023 - Present

D.H. HILL SECURITIES, LLLP

Office #1: 249 Pawling Ave Suite 106, Hartland, WI 53029
BD
CRD#: 41528
Hartland, WI
Past

November 2, 2018 - January 2, 2024

OSAIC WEALTH, INC.

BD
CRD#: 23131
BROOKFIELD, WI
Past

August 9, 2012 - November 2, 2018

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
BROOKFIELD, WI
Past

September 18, 2009 - December 31, 2010

PACKERLAND BROKERAGE SERVICES, INC.

BD
CRD#: 37031
EAGLE, WI
Past

January 28, 1997 - September 20, 2007

NEW ENGLAND SECURITIES

BD
CRD#: 615
BROOKFIELD, WI
Past

August 19, 1996 - January 8, 1997

SII INVESTMENTS, INC.

BD
CRD#: 2225
APPLETON, WI
Past

May 10, 1996 - August 23, 1996

WMA SECURITIES, INC.

BD
CRD#: 32625
DULUTH, GA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(11/13/2023)
RR
Wisconsin
(11/13/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 4/11/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 5/9/1996
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

DH
D.H. HILL SECURITIES, LLLP
D.H. HILL SECURITIES LLP | FIRST FINANCIAL UNITED INVESTMENTS, LTD. | FIRST FINANCIAL UNITED INVESTMENTS LTD., L.L.P. | D.H. HILL SECURITIES, LLLP

CRD#: 41528 / SEC#: , 8-49475

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
1543 Green Oak Place, Suite 100, Kingwood, TX 77339
Mailing Address
1543 Green Oak Place, Suite 100, Kingwood, TX 77339
Phone number
(832) 644-1852
Established
Texas since 06/11/1996
Firm type
Other Types of Legal Formation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (50 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
HILL, DANNY HAROLDCHIEF COMPLIANCE OFFICER1012712
HILL, DANNY HAROLDLIMITED PARTNER1012712
HILL, DANNY HAROLDMUNICIPAL PRINCIPAL1012712
H & H SERVICESGENERAL PARTNER

Disclosures

Regulatory Event4

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.

Company Information

D.H. HILL SECURITIES, LLLP

CRD#: 41528Hartland, WI 53029

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