Warren S. Sandy
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.
Warren Steven Sandy was a registered financial professional .
Warren is a previously registered financial professional and started their career in finance in 1972. Warren had worked at 3 firms and has passed the Series 27 and F04 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 3, 1982 - August 15, 1985
KOBRIN SECURITIES, INC.
August 30, 1979 - March 17, 1981
KINGSLEY, BOYE & SOUTHWOOD, INC.
May 16, 1972 - October 27, 1973
MITCHUM, JONES & TEMPLETON INCORPORATED
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
F04
Date: 7/5/1979
Financial Principal ExaminationCurrent Firm
KOBRIN SECURITIES, INC.
CRD#: 10204 / SEC#: , 8-26601
Contact information
Documents
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.
