Lee T. Sandvik
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.
Lee Thomas Sandvik, who also goes by Lt Sandvik, was a registered financial professional .
Lee is a previously registered financial professional and started their career in finance in 2000. Lee had worked at 5 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 2015 - April 14, 2016
ROSENBLATT SECURITIES INC.
October 4, 2011 - October 2, 2013
NATALLIANCE SECURITIES, LLC
March 14, 2006 - September 30, 2011
JANCO PARTNERS, INC.
May 30, 2002 - December 16, 2005
STIFEL, NICOLAUS & COMPANY, INCORPORATED
February 4, 2000 - February 12, 2002
JANUS HENDERSON DISTRIBUTORS US LLC
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 55
Date: 2/13/2007
Limited Representative-Equity Trader ExamCurrent Firm
ROSENBLATT SECURITIES INC.
CRD#: 18377 / SEC#: , 8-24255
Contact information
FINRA licenses (15 States and Territories)
Disclosures
| Regulatory Event | 6 |
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.
