Dee W. Sanford
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.
Dee Watson Sanford, who also goes by Dee Ann Watson, was a registered financial professional .
Dee is a previously registered financial professional and started their career in finance in 1999. Dee had worked at 4 firms and has passed the Series 63, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 1, 2010 - January 23, 2014
MULTI-BANK SECURITIES, INC.
February 24, 2009 - February 26, 2010
CU INVESTMENT SOLUTIONS LLC
October 17, 2000 - June 28, 2006
ASCENSION FINANCIAL SOLUTIONS, INC.
May 2, 2000 - August 1, 2000
ASCENSION FINANCIAL SOLUTIONS, INC.
January 1, 1999 - June 7, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
MULTI-BANK SECURITIES, INC.
CRD#: 22098 / SEC#: , 8-39547
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
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.
