Sandi K. Gordon
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.
Sandi K Gordon, who also goes by Sandi K Stothoff, was a registered financial professional .
Sandi is a previously registered financial professional and started their career in finance in 1997. Sandi had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 14, 2019 - July 26, 2021
ALDRICH WEALTH LP
December 22, 2011 - September 10, 2018
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - September 10, 2018
WELLS FARGO CLEARING SERVICES, LLC
March 17, 2010 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
July 12, 1999 - June 14, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 24, 1997 - July 12, 1999
BA INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
ALDRICH WEALTH LP
CRD#: 147200 / SEC#: 801-69190
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
Current Firm
ALDRICH WEALTH LP
CRD#: 147200 / SEC#: 801-69190
Contact information
SEC notice filing (16 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,435 |
| AUM (Assets Under Management) | $ 6,466,230,295 |
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.
