Santokh Sandhu
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.
Santokh Sandhu, who also goes by Santo Sandhu, was a registered financial professional .
Santokh is a previously registered financial professional and started their career in finance in 1996. Santokh had worked at 2 firms and has passed the Series 63, SIE and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 28, 2003 - June 20, 2016
WOLVERTON SECURITIES (USA), LTD.
October 16, 1996 - November 4, 1998
BLACKWELL DONALDSON & COMPANY
State Registrations and Notice Filings
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Exams
Series 62
Date: 10/27/2003
Corporate Securities Limited Representative ExaminationCurrent Firm
WOLVERTON SECURITIES (USA), LTD.
CRD#: 41745 / SEC#: , 8-49561
Contact information
Documents
Red Flags
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