Richard L. Sandow
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.
Richard Leroy Sandow was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1968. Richard had worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, Series 99TO, Series 52TO, Series 79TO, SIE, Series 1, Series 24, Series 27, Series 53, Series 4 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 12, 2019 - November 17, 2021
WILMINGTON CAPITAL SECURITIES, LLC
November 4, 2019 - November 17, 2021
WILMINGTON CAPITAL SECURITIES, LLC
July 9, 2003 - December 31, 2021
SOUTHLAKE CAPITAL ADVISORS, INC.
March 27, 1996 - January 29, 2020
FORTE SECURITIES LLC
June 10, 1991 - September 8, 1997
CULLUM & SANDOW SECURITIES, INC.
August 4, 1978 - April 14, 1993
CULLUM & SANDOW, INC.
December 10, 1968 - September 22, 1978
MAY FINANCIAL CORPORATION
Primary Firm SEC Registration
WILMINGTON CAPITAL SECURITIES, LLC
CRD#: 133839 / SEC#: 801-101483, 8-67149
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 1
Date: 4/16/1963
Registered Representative ExaminationSeries 00
Date: 1/28/1969
General Securities Principal ExaminationCurrent Firm
WILMINGTON CAPITAL SECURITIES, LLC
CRD#: 133839 / SEC#: 801-101483, 8-67149
Contact information
SEC notice filing (7 States and Territories)
FINRA licenses (49 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WILMINGTON CAPITAL GROUP, INC. | PARENT COMPANY | |
| COLUMBO, JOSEPH DONALD | CHAIRMAN OF BROKER DEALER, GENERAL PRINCIPAL, GOVERNMENT SECURITIES PRINCIPAL, MSRB PRINCIPAL, ELECTED MANAGER | 823524 |
| DORUSHKIN, RONALD BRETT | CEO OF BROKER DEALER, GENERAL PRINCIPAL, ELECTED MANAGER | 2245185 |
| LEE, DENNIS PETER | CHIEF COMPLIANCE OFFICER AND AML COMPLIANCE OFFICER OF BROKER DEALER AND INVESTMENT ADVISOR, REGISTERED OPTIONS PRINCIPAL | 6008539 |
| MIKES, JOHN | PRESIDENT OF BROKER DEALER, GENERAL SECURITIES PRINCIPAL, ELECTED MANAGER,OSJ SUPERVISOR | 2458544 |
| VITTOR, GREG TODD | FINOP, PRINCIPAL FINANCIAL OFFICER & PRINCIPAL OPERATIONS OFFICER | 1864219 |
Regulatory assets under management
| Total Number of Accounts | 279 |
| AUM (Assets Under Management) | $ 258,250,437 |
Disclosures
| Regulatory Event | 2 |
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.
