Philip S. Sandler
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.
Philip Stanley Sandler, who also goes by Philip S Sandler, was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1971. Philip had worked at 5 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 19, 2016 - December 31, 2019
NEXT FINANCIAL GROUP, INC.
October 1, 2015 - December 31, 2019
NEXT FINANCIAL GROUP, INC.
March 15, 1993 - December 31, 2004
LPL FINANCIAL LLC
March 5, 1993 - October 20, 2015
LPL FINANCIAL LLC
August 23, 1991 - January 3, 1992
TOWER SQUARE SECURITIES, INC.
September 27, 1983 - December 31, 1990
NATHAN & LEWIS SECURITIES, INC.
December 13, 1971 - March 12, 1984
LINCOLN FINANCIAL DISTRIBUTORS, INC.
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
Series 1
Date: 12/7/1971
Registered Representative ExaminationCurrent Firm
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
Contact information
FINRA licenses (7 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 16,805 |
| AUM (Assets Under Management) | $ 3,769,456,133 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 06/28/2024 |
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.
