Sandra L. Solomon
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.
Sandra Lee Solomon, who also goes by Sandra Lee Venezia, was a registered financial professional .
Sandra is a previously registered financial professional and started their career in finance in 1973. Sandra had worked at 9 firms and has passed the Series 63, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 29, 1991 - March 23, 1994
SPENCER EDWARDS, INC.
August 8, 1989 - September 24, 1990
J.D. COPPERFIELD, LTD.
March 15, 1983 - February 25, 1991
J. W. GANT & ASSOCIATES, INC.
September 28, 1982 - April 28, 1983
WALFORD, DEMARET & CO., INC.
February 28, 1980 - June 9, 1982
OTC NET INCORPORATED
October 31, 1977 - April 30, 1978
CLAYTON BROKERAGE CO. OF ST. LOUIS, INC.
April 1, 1975 - December 30, 1976
DOUGLASS & CO. INCORPORATED
January 30, 1974 - March 15, 1975
COLUMBINE SECURITIES, INC.
February 1, 1973 - February 7, 1974
COVEY & CO., 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: 1/19/1973
Registered Representative ExaminationCurrent Firm
SPENCER EDWARDS, INC.
CRD#: 22067 / SEC#: , 8-39511
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 18 |
| Arbitration | 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.
