Sandra B. Masino
Professional summary
Sandra Burtrum Masino was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Sandra is a previously registered financial professional and started their career in finance in 1999. Prior to being barred, Sandra had worked at 2 firms, which includes MUTUAL SERVICE CORPORATION, TRADEWAY SECURITIES GROUP INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 24, 2001 - December 18, 2002
MUTUAL SERVICE CORPORATION
February 19, 1999 - September 21, 2001
TRADEWAY SECURITIES GROUP, INC.
State Registrations and Notice Filings
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Exams
Current Firm
MUTUAL SERVICE CORPORATION
CRD#: 4806 / SEC#: , 8-15313
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL INDEPENDENT ADVISOR SERVICE GROUP LLC | PARENT COMPANY | |
| BROWN, STEPHANIE LEIGH | DIRECTOR/SECRETARY | 1973369 |
| DWYER, WILLIAM EDWARD III | DIRECTOR | 1274680 |
| KALBAUGH, JOHN ANDREW | CHIEF EXECUTIVE OFFICER/CHAIRMAN/DIRECTOR | 1821773 |
| MITCHELL, CHRISTOPHER MILLS | CFO/FINOP | 2420144 |
| STEARNS, ESTHER MARION | DIRECTOR | 1088948 |
| VANNOY-PINEDA, KATHLEEN DENISE | CHIEF COMPLIANCE OFFICER | 1347526 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 17 |
Red Flags
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