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Robert R. Chandler

Some features on this profile are disabled
CRD#: 44495
RC

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

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 19, 1992 - December 31, 1996

SUNAMERICA SECURITIES, INC.

BD
CRD#: 20068
PHOENIX, AZ
Past

February 15, 1989 - May 19, 1992

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

BD
CRD#: 5774
Past

December 10, 1982 - December 19, 1983

FIRST MID-AMERICA INC.

BD
CRD#: 306
Past

November 11, 1982 - January 25, 1989

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

April 6, 1971 - November 15, 1982

SECURITIES CORPORATION OF IOWA

BD
CRD#: 6945
Past

February 26, 1969 - April 15, 1971

DICKINSON & CO.

BD
CRD#: 689

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/20/1979
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 1
Date: 9/10/1959
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 8
Date: 3/7/1983
General Securities Sales Supervisor Examination (Options Module & General Module)
Principal/Supervisory Exam
RR
Series 00
Date: 2/12/1969
General Securities Principal Examination

Current Firm

SS
SUNAMERICA SECURITIES, INC.
ANFS, INC. | SUNAMERICA SECURITIES, INC.

CRD#: 20068 / SEC#: , 8-38083

BD
Cancelled by SEC on 02/25/2008
PREMIUM
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 03/03/1973
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
AIG ADVISOR GROUP100% SHAREHOLDER OF SUNAMERICA SECURITIES, INC.
BOURDAMIS, SALLY HANSONVICE PRESIDENT, BROKERAGE SERVICES1812157
CANNON, JAMES RICHARDPRESIDENT, CEO, DIRECTOR1755987
CAPRIOTTI, JACQUELYN MARIEVICE PRESIDENT, VISION 20201575021
CAVANAUGH, MARY LOUISEDIRECTOR1977110
DENBY, SUSANNE MARIEVICE PRESIDENT, CHIEF COMPLIANCE OFFICER2617514
DORFMAN, KENNETH PAULCROP2460380
FIELDS, INGER WILSONFINOP1690043
FREEMAN, BRUCE TODDASSOCIATE VICE PRESIDENT, MUNICIPAL PRINCIPAL2451499
GAUGHAN, BRIDGET MARYEXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY2691949
GAUGHAN, BRIDGET MARYDIRECTOR2691949
KUBICA, LISA SUEEXECUTIVE VICE PRESIDENT, COO, SROP, MP1098488
MCREYNOLDS, MICHAEL RONALDASSISTANT VICE PRESIDENT, INSURANCE816602
PARKER, RALPH JOELASSISTANT VICE PRESIDENT, INSURANCE2587496
RADFORD, CHRISTOPHER BLAKESENIOR VICE PRESIDENT, NATIONAL SALES1564302
ROTHSTEIN, STEVEN ELLIOTEXECUTIVE VICE PRESIDENT, CFO, TREASURER1292456
ROTHSTEIN, STEVEN ELLIOTDIRECTOR1292456
SONCHIK, RITA LYNNVICE PRESIDENT, ACCOUNTING1865389
STAUFFER, RALPH OWEN JRVICE PRESIDENT INFORMATION TECHNOLOGY3255670

Disclosures

Regulatory Event11
Arbitration16
Bond3

Red Flags

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Company Information

SUNAMERICA SECURITIES, INC.

CRD#: 20068

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