Sean M. Sands
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.
Sean Michael Sands was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 1997. Sean had worked at 6 firms and has passed the Series 63, Series 7 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
May 20, 2011 - December 17, 2012
SC&H CAPITAL CORPORATION
November 1, 2010 - May 12, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 18, 2006 - November 1, 2010
BANC OF AMERICA SECURITIES LLC
November 17, 2000 - April 4, 2001
WELLS FARGO CLEARING SERVICES, LLC
February 2, 1998 - June 3, 1999
FIRST UNION CAPITAL MARKETS CORP.
January 14, 1997 - February 2, 1998
FIRST UNION CAPITAL MARKETS CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SC&H CAPITAL CORPORATION
CRD#: 148291 / SEC#: , 8-68003
Contact information
FINRA licenses (6 States and Territories)
Documents
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.
