Sukhdev S. 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.
Sukhdev Singh Sandhu was a registered financial professional .
Sukhdev is a previously registered financial professional and started their career in finance in 1997. Sukhdev had worked at 8 firms and has passed the Series 63, Series 65, Series 52TO, SIE, Series 7, Series 6, Series 53 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
November 3, 2021 - February 8, 2022
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
November 2, 2021 - February 8, 2022
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 15, 2020 - February 12, 2021
CITIZENS SECURITIES, INC.
December 15, 2020 - February 12, 2021
CITIZENS SECURITIES, INC.
July 18, 2012 - August 31, 2020
KEY INVESTMENT SERVICES LLC
July 18, 2012 - August 31, 2020
KEY INVESTMENT SERVICES LLC
October 26, 2005 - December 22, 2011
U.S. BANCORP INVESTMENTS, INC.
October 24, 2005 - December 22, 2011
U.S. BANCORP INVESTMENTS, INC.
July 6, 2005 - October 7, 2005
CHASE INVESTMENT SERVICES CORP.
July 6, 2005 - October 7, 2005
CHASE INVESTMENT SERVICES CORP.
October 2, 2002 - July 6, 2005
BANC ONE SECURITIES CORPORATION
March 27, 2001 - July 6, 2005
BANC ONE SECURITIES CORPORATION
September 11, 1997 - February 12, 2001
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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