Christopher B. Sands
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.
Christopher Brett Sands, who also goes by Brett Sands, Christopher Brett Sands, Christopher Sands, Brett Sands, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2001. Christopher had worked at 14 firms and has passed the Series 66, Series 65, Series 63, SIE, 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
April 14, 2025 - April 10, 2026
LPL ENTERPRISE, LLC
March 24, 2025 - April 10, 2026
LPL ENTERPRISE, LLC
May 10, 2022 - December 13, 2022
AMERIPRISE FINANCIAL SERVICES, LLC
May 10, 2022 - December 13, 2022
AMERIPRISE FINANCIAL SERVICES, LLC
September 30, 2021 - January 21, 2022
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 29, 2021 - January 21, 2022
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
November 21, 2017 - February 18, 2020
AVANTAX ADVISORY SERVICES
November 21, 2017 - February 18, 2020
AVANTAX INVESTMENT SERVICES, INC.
November 29, 2016 - June 2, 2017
J.P. MORGAN SECURITIES LLC
November 29, 2016 - June 2, 2017
J.P. MORGAN SECURITIES LLC
June 15, 2012 - September 28, 2016
HILLTOP SECURITIES INC.
June 15, 2012 - September 28, 2016
HILLTOP SECURITIES INC.
May 24, 2012 - June 20, 2012
FIDELITY BROKERAGE SERVICES LLC
January 23, 2012 - April 9, 2012
FSW ADVISORY SERVICES INC.
January 23, 2012 - April 9, 2012
FIRST SOUTHWEST COMPANY, LLC
April 13, 2009 - January 9, 2012
HARRISDIRECT LLC
April 28, 2005 - January 9, 2012
E*TRADE SECURITIES LLC
July 3, 2003 - April 18, 2005
TD AMERITRADE, INC.
July 3, 2003 - April 18, 2005
TD AMERITRADE, INC.
February 5, 2001 - May 1, 2003
ALLSTATE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
LPL ENTERPRISE, LLC
CRD#: 8733 / SEC#: 801-130883, 8-26037
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
Current Firm
LPL ENTERPRISE, LLC
CRD#: 8733 / SEC#: 801-130883, 8-26037
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
