Sonia M. Sandoval
Professional summary
Sonia Marie Sandoval, who also goes by Sonia Marie Martinez, is a registered financial professional currently at NUVEEN SECURITIES, LLC located in Chicago, Illinois.
Sonia is registered as a RR (Registered Representative) and started their career in finance in 2001. Sonia has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Sonia Marie Sandoval's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 27, 2016 - Present
NUVEEN SECURITIES, LLC
Office #1: 333 West Wacker Drive, Chicago, IL 60606-1286December 13, 2011 - May 19, 2016
NORTHERN TRUST SECURITIES, INC.
January 20, 2011 - September 15, 2011
NORTHERN TRUST SECURITIES, INC.
December 9, 2005 - April 3, 2009
NORTHERN TRUST SECURITIES, INC.
October 17, 2003 - September 29, 2005
CITICORP INVESTMENT SERVICES
October 11, 2001 - August 19, 2003
CABRERA CAPITAL MARKETS, 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
(6/27/2016)
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(6/27/2016)
Exams
FINRA
Current Firm
NUVEEN SECURITIES, LLC
CRD#: 469 / SEC#: , 8-13464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 1 |
Red Flags
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