Robert R. Chandler
Professional summary
Robert Raymond Chandler was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robert is a previously registered financial professional and started their career in finance in 1969. Prior to being barred, Robert had worked at 6 firms, which includes SUNAMERICA SECURITIES INC., ANCHOR NATIONAL FINANCIAL SERVICES INC., FIRST MID-AMERICA INC., UBS FINANCIAL SERVICES INC., SECURITIES CORPORATION OF IOWA, DICKINSON & CO..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 19, 1992 - December 31, 1996
SUNAMERICA SECURITIES, INC.
February 15, 1989 - May 19, 1992
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
December 10, 1982 - December 19, 1983
FIRST MID-AMERICA INC.
November 11, 1982 - January 25, 1989
UBS FINANCIAL SERVICES INC.
April 6, 1971 - November 15, 1982
SECURITIES CORPORATION OF IOWA
February 26, 1969 - April 15, 1971
DICKINSON & CO.
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: 9/10/1959
Registered Representative ExaminationSeries 8
Date: 3/7/1983
General Securities Sales Supervisor Examination (Options Module & General Module)Series 00
Date: 2/12/1969
General Securities Principal ExaminationCurrent Firm
SUNAMERICA SECURITIES, INC.
CRD#: 20068 / SEC#: , 8-38083
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AIG ADVISOR GROUP | 100% SHAREHOLDER OF SUNAMERICA SECURITIES, INC. | |
| BOURDAMIS, SALLY HANSON | VICE PRESIDENT, BROKERAGE SERVICES | 1812157 |
| CANNON, JAMES RICHARD | PRESIDENT, CEO, DIRECTOR | 1755987 |
| CAPRIOTTI, JACQUELYN MARIE | VICE PRESIDENT, VISION 2020 | 1575021 |
| CAVANAUGH, MARY LOUISE | DIRECTOR | 1977110 |
| DENBY, SUSANNE MARIE | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2617514 |
| DORFMAN, KENNETH PAUL | CROP | 2460380 |
| FIELDS, INGER WILSON | FINOP | 1690043 |
| FREEMAN, BRUCE TODD | ASSOCIATE VICE PRESIDENT, MUNICIPAL PRINCIPAL | 2451499 |
| GAUGHAN, BRIDGET MARY | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY | 2691949 |
| GAUGHAN, BRIDGET MARY | DIRECTOR | 2691949 |
| KUBICA, LISA SUE | EXECUTIVE VICE PRESIDENT, COO, SROP, MP | 1098488 |
| MCREYNOLDS, MICHAEL RONALD | ASSISTANT VICE PRESIDENT, INSURANCE | 816602 |
| PARKER, RALPH JOEL | ASSISTANT VICE PRESIDENT, INSURANCE | 2587496 |
| RADFORD, CHRISTOPHER BLAKE | SENIOR VICE PRESIDENT, NATIONAL SALES | 1564302 |
| ROTHSTEIN, STEVEN ELLIOT | EXECUTIVE VICE PRESIDENT, CFO, TREASURER | 1292456 |
| ROTHSTEIN, STEVEN ELLIOT | DIRECTOR | 1292456 |
| SONCHIK, RITA LYNN | VICE PRESIDENT, ACCOUNTING | 1865389 |
| STAUFFER, RALPH OWEN JR | VICE PRESIDENT INFORMATION TECHNOLOGY | 3255670 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 16 |
| Bond | 3 |
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