Sandra J. Kramer
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 June Kramer, who also goes by Sandra June Thurman, was a registered financial professional .
Sandra is a previously registered financial professional and started their career in finance in 2001. Sandra had worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 3, Series 31, Series 7, Series 6, Series 30 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
February 25, 2014 - November 25, 2025
INTERACTIVE BROKERS LLC
October 1, 2012 - January 2, 2013
J.P. MORGAN SECURITIES LLC
October 1, 2012 - January 2, 2013
J.P. MORGAN SECURITIES LLC
September 29, 2008 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
September 29, 2008 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
August 11, 2005 - May 19, 2008
TRADESTATION SECURITIES, INC.
August 12, 2003 - April 1, 2004
FARMERS FINANCIAL SOLUTIONS, LLC
October 29, 2002 - May 22, 2003
MORGAN STANLEY DW INC.
June 3, 2002 - May 22, 2003
MORGAN STANLEY DW INC.
April 16, 2001 - June 21, 2002
MML INVESTORS SERVICES, 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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
INTERACTIVE BROKERS LLC
CRD#: 36418 / SEC#: , 8-47257
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IBG LLC | MANAGING MEMBER | |
| BRODY, PAUL JONATHAN | SECRETARY, PRINCIPAL OPERATIONS OFFICER | 1722066 |
| CHAIT, JONATHAN | EXECUTIVE VICE PRESIDENT, COO | 4582696 |
| FRIEDLAND, DAVID ERIC | MANAGING DIRECTOR-ASIAN OPERATIONS | 2715164 |
| GALIK, MILAN | CHIEF EXECUTIVE OFFICER | 2204066 |
| GELMAN, JONATHAN MICHAEL | CHIEF COMPLIANCE OFFICER | 5440103 |
| MANDELBAUM, ELAINE | GENERAL COUNSEL | 2957713 |
| MENICUCCI, JAMES | PRINCIPAL FINANCIAL OFFICER | 6590173 |
| SHAO-CHEN, KENGNING | TREASURER | 5910386 |
Disclosures
| Regulatory Event | 92 |
| Arbitration | 26 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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