Christopher B. Sands

LPL ENTERPRISE

PLANO, TX 75024

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CRD#: 4339805

Professional summary

Christopher Brett Sands, who also goes by Brett Sands, Christopher Brett Sands, Christopher Sands, Brett Sands, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Plano, Texas.

Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Christopher has worked at 14 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brett Sands | Christopher Brett Sands | Christopher Sands | Brett Sands

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Brett Sands's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Christopher Brett Sands's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 14, 2025 - Present

LPL ENTERPRISE, LLC

Office #1: 5700 Granite Pkwy Suite 360, Plano, TX 75024

RIA

CRD#: 8733

PLANO, TX

Current

March 24, 2025 - Present

LPL ENTERPRISE, LLC

Office #1: 5700 Granite Pkwy Suite 360, Plano, TX 75024

RIA

CRD#: 8733

PLANO, TX

Past

May 10, 2022 - December 13, 2022

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

RICHARDSON, TX

Past

May 10, 2022 - December 13, 2022

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

RICHARDSON, TX

Past

September 30, 2021 - January 21, 2022

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

ADDISON, TX

Past

September 29, 2021 - January 21, 2022

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

ADDISON, TX

Past

November 21, 2017 - February 18, 2020

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

Irving, TX

Past

November 21, 2017 - February 18, 2020

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

Irving, TX

Past

November 29, 2016 - June 2, 2017

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

DALLAS, TX

Past

November 29, 2016 - June 2, 2017

J.P. MORGAN SECURITIES LLC

CRD#: 79

DALLAS, TX

Past

June 15, 2012 - September 28, 2016

HILLTOP SECURITIES INC.

RIA

CRD#: 6220

DALLAS, TX

Past

June 15, 2012 - September 28, 2016

HILLTOP SECURITIES INC.

CRD#: 6220

DALLAS, TX

Past

May 24, 2012 - June 20, 2012

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

WESTLAKE, TX

Past

January 23, 2012 - April 9, 2012

FSW ADVISORY SERVICES INC.

RIA

CRD#: 148818

DALLAS, TX

Past

January 23, 2012 - April 9, 2012

FIRST SOUTHWEST COMPANY, LLC

CRD#: 316

DALLAS, TX

Past

April 13, 2009 - January 9, 2012

HARRISDIRECT LLC

RIA

CRD#: 42159

ARLINGTON, VA

Past

April 28, 2005 - January 9, 2012

E*TRADE SECURITIES LLC

CRD#: 29106

DALLAS, TX

Past

July 3, 2003 - April 18, 2005

TD AMERITRADE, INC.

RIA

CRD#: 7870

DALLAS, TX

Past

July 3, 2003 - April 18, 2005

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

February 5, 2001 - May 1, 2003

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

LINCOLN, NE

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Texas
(4/14/2025)

IAR

Texas
(4/14/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/9/2009

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 5/22/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/26/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/14/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/2/2001

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

1055 Lpl Way, Fort Mill, SC 29715

Mailing Address

1055 Lpl Way, Fort Mill, SC 29715

Phone number

(704) 733-3300

Established

Delaware since 05/25/2023

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

4,650

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

A58 LPLE (3/31/2025)

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
MORRISON, STEVEN PHILIP	SECRETARY	4529345
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

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/25/2025	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Christopher B. Sands

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Brett Sands's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Christopher Brett Sands's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL ENTERPRISE, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

HILLTOP SECURITIES INC.

HILLTOP SECURITIES INC.

FIDELITY BROKERAGE SERVICES LLC

FSW ADVISORY SERVICES INC.

FIRST SOUTHWEST COMPANY, LLC

HARRISDIRECT LLC

E*TRADE SECURITIES LLC

TD AMERITRADE, INC.

TD AMERITRADE, INC.

ALLSTATE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/9/2009

Series 65

Date: 5/22/2002

Series 63

Date: 3/26/2001

SIE

Date: 10/1/2018

Series 7

Date: 1/14/2002

Series 6

Date: 2/2/2001

FINRA

Current Firm

LPL ENTERPRISE, LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

LPL ENTERPRISE, LLC

TRUST BUT VERIFY

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