Sandra M. Mardi
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 Marie Mardi, who also goes by Sandra Karasek, Sandi Mardi, was a registered financial professional .
Sandra is a previously registered financial professional and started their career in finance in 1996. Sandra had worked at 7 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 55, Series 7, Series 4 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
January 27, 2022 - January 18, 2024
CHARLES SCHWAB & CO., INC.
January 18, 2022 - January 18, 2024
CHARLES SCHWAB & CO., INC.
January 7, 2011 - October 14, 2022
TD AMERITRADE, INC.
April 22, 2006 - January 18, 2024
TD AMERITRADE, INC.
June 18, 2004 - December 31, 2010
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 28, 2003 - August 6, 2003
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
January 2, 2002 - April 22, 2006
TD AMERITRADE CLEARING, INC.
November 15, 2001 - December 31, 2001
J.P. SECURITIES, INC.
September 13, 2001 - October 15, 2001
NEBRASKA HUDSON COMPANY, INC.
July 16, 1996 - December 31, 2001
ACCUTRADE INC.
July 3, 1996 - July 15, 1996
J.P. SECURITIES, INC.
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 5/25/2004
Limited Representative-Equity Trader ExamCurrent Firm
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
