Lynn Sandt

LEAR INVESTMENT MANAGEMENT

Dallas, TX 75219

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CRD#: 3159428

Professional summary

Lynn Sandt, who also goes by Lynn M Sandt, is a registered financial advisor currently at LEAR INVESTMENT MANAGEMENT located in Dallas, Texas.

Lynn is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Lynn has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Lynn M Sandt

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) - RIA

Click below to view Lynn Sandt'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

May 1, 2020 - Present

LEAR INVESTMENT MANAGEMENT

Office #1: 2911 Turtle Creek Boulevard Suite 920, Dallas, TX 75219

RIA

CRD#: 174119

Dallas, TX

Past

September 23, 2016 - November 21, 2018

PHLOX CAPITAL MANAGEMENT, LLC

RIA

CRD#: 281166

DALLAS, TX

Past

September 2, 2014 - February 11, 2015

FORESIDE FUND SERVICES, LLC

CRD#: 46106

DALLAS, TX

Past

June 29, 2011 - May 9, 2013

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

June 24, 2010 - April 29, 2011

MORGAN STANLEY DISTRIBUTION, INC.

CRD#: 30344

WEST CONSHOHOCKEN, PA

Past

February 16, 2007 - June 30, 2008

FORESIDE DISTRIBUTION SERVICES, L.P.

CRD#: 15634

PORTLAND, ME

Past

July 18, 2002 - December 31, 2006

CREDIT SUISSE ASSET MANAGEMENT SECURITIES LLC

CRD#: 15654

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LEAR INVESTMENT MANAGEMENT

FWL INVESTMENT MANAGEMENT | LEAR INVESTMENT MANAGEMENT | FWL INVESTMENT MANAGEMENT, LLC

CRD#: 174119 / SEC#: 801-110851

RIA

Registered Investment Advisory firm - (7/21/2017 Approved)

Texas

Registered Investment Advisory firm - (7/24/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(5/1/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/4/2016

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/26/2019

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/17/2002

General Securities Representative Examination

Current Firm

LEAR INVESTMENT MANAGEMENT

FWL INVESTMENT MANAGEMENT | LEAR INVESTMENT MANAGEMENT | FWL INVESTMENT MANAGEMENT, LLC

CRD#: 174119 / SEC#: 801-110851

RIA

Registered Investment Advisory firm - (7/21/2017 Approved)

Texas

Registered Investment Advisory firm - (7/24/2017 Terminated)

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Contact information

Main Address

2911 Turtle Creek Boulevard Suite 920, Dallas, TX 75219

Mailing Address

Phone number

(214) 445-5900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (4/28/2025)

JIM WARNER PART 2B (3/25/2025)

RICK LEAR PART 2B (3/25/2025)

Regulatory assets under management

Total Number of Accounts	305
AUM (Assets Under Management)	$ 805,713,943

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.

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Advisor Monitoring

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Lynn Sandt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lynn Sandt's CRS (Customer Relationship Summary).

Certified licenses

Experience

PHLOX CAPITAL MANAGEMENT, LLC

FORESIDE FUND SERVICES, LLC

RBC CAPITAL MARKETS, LLC

MORGAN STANLEY DISTRIBUTION, INC.

FORESIDE DISTRIBUTION SERVICES, L.P.

CREDIT SUISSE ASSET MANAGEMENT SECURITIES LLC

Primary Firm SEC Registration

LEAR INVESTMENT MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 2/4/2016

SIE

Date: 10/26/2019

Series 7

Date: 7/17/2002

Current Firm

LEAR INVESTMENT MANAGEMENT

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LEAR INVESTMENT MANAGEMENT

TRUST BUT VERIFY

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