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SH

Sandra M. Hastings

PURSHE KAPLAN STERLING INVESTMENTS
Columbia, SC 29205
Some features on this profile are disabled
CRD#: 3199100
SH

Professional summary

Sandra Michaela Hastings, who also goes by Sandra Michaela Erwin, Sandra Erwin, Sandra M Hastings, is a registered financial professional currently at PURSHE KAPLAN STERLING INVESTMENTS located in Columbia, South Carolina.

Sandra is registered as a RR (Registered Representative) and started their career in finance in 1999. Sandra has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sandra Michaela Erwin | Sandra Erwin | Sandra M Hastings

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 Michaela Hastings'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

August 15, 2017 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 3205 Devine Street, Columbia, SC 29205
BD
CRD#: 35747
Columbia, SC
Past

April 20, 2017 - September 12, 2017

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA
CRD#: 15708
COLUMBIA, SC
Past

April 20, 2017 - September 12, 2017

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

BD
CRD#: 15708
COLUMBIA, SC
Past

June 30, 2015 - August 12, 2015

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
COLUMBIA, SC
Past

April 1, 2015 - August 12, 2015

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
COLUMBIA, SC
Past

June 15, 2002 - August 1, 2003

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

February 26, 2002 - June 15, 2002

WACHOVIA SECURITIES, INC.

BD
CRD#: 431
CHARLOTTE, NC
Past

March 23, 1999 - February 9, 2000

WACHOVIA BROKERAGE SERVICE

BD
CRD#: 17503
WINSTON SALEM, NC

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
South Carolina
(8/15/2017)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/26/2015
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 3/30/1999
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: 4/1/2015
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/22/1999
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PK
PURSHE KAPLAN STERLING INVESTMENTS
PURSHE KAPLAN STERLING INVESTMENTS | SARATOGA 21ST, LTD. | PURSHE KAPLAN STERLING INVESTMENTS, INC.

CRD#: 35747 / SEC#: , 8-46844

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

Main Address
80 State Street, Albany, NY 12207
Mailing Address
80 State Street, Albany, NY 12207
Phone number
(518) 436-3536
Established
New York since 12/16/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 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#
PKS HOLDINGS, LLCHOLDING CO.
BOHLEY, TRACEY LEACHIEF FINANCIAL OFFICER4826937
FLOUTON, KATHERINE MARIEPRESIDENT4405001
KVAM, PETER DAVIDCHIEF COMPLIANCE OFFICER4301918
MOTTA, CHRISTOPHER JOHNCOO2741133
PURCELL, JOHN PETERC.E.O.1664678

Disclosures

Regulatory Event11
Arbitration2

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

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747Columbia, SC 29205

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