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SB

Sandra J. Buchan

CAPITAL MANAGEMENT SECURITIES
Minneapolis, MN 55431
Some features on this profile are disabled
CRD#: 3150085
SB

Professional summary

Sandra Jean Buchan, who also goes by Sandra Jean Poyda, is a registered financial professional currently at CAPITAL MANAGEMENT SECURITIES, INC. located in Minneapolis, Minnesota.

Sandra is registered as a RR (Registered Representative) and started their career in finance in 1998. Sandra has worked at 1 firm and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sandra Jean Poyda

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sandra Jean Buchan's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

December 14, 1998 - Present

CAPITAL MANAGEMENT SECURITIES, INC.

Office #1: 7900 Xerxes Avenue South Suite 500, Minneapolis, MN 55431
BD
CRD#: 10579
Minneapolis, MN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Minnesota
(1/12/1999)

Exams

State Security Law Exam
RR
Series 63
Date: 1/11/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/9/1998
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CM
CAPITAL MANAGEMENT SECURITIES, INC.
CAPITAL MANAGEMENT ASSOCIATES, INC. | RONIN ADVISORY | FIRST ADVISORS | CAPITAL MANAGEMENT SECURITIES, INC.

CRD#: 10579 / SEC#: , 8-27779

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
7900 Xerxes Ave S. #500, Minneapolis, MN 55431-1120
Mailing Address
7900 Xerxes Avenue S #500, Minneapolis, MN 55431-1120
Phone number
(952) 893-1200
Established
Minnesota since 04/07/1975
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (18 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CMA FINANCIAL, INCOWNER
GLENNIE, MELISSA LEAHSROP, GENERAL SECURITIES PRINCIPAL, CHIEF COMPLIANCE OFFICER, MSRB PRINCIPAL, CFO, COO, FINOP, PFO, POO2221936
LUING, THOMAS ALFREDPRESIDENT, PRINCIPAL1502743
STROH, GREGORY ALANCEO, PRINCIPAL, FINOP, MSRB PRINCIPAL, CHAIRMAN704342

Disclosures

Regulatory Event2

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.

Company Information

CAPITAL MANAGEMENT SECURITIES, INC.

CRD#: 10579Minneapolis, MN 55431

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