Craig J. 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.
Craig James Sands, who also goes by Sands, was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 2002. Craig had worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 28, 2014 - January 29, 2015
HUNT FINANCIAL SECURITIES
December 16, 2009 - December 15, 2011
JEFFERIES LLC
May 2, 2002 - November 20, 2009
MOUNTAINVIEW SECURITIES, 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
Current Firm
HUNT FINANCIAL SECURITIES
CRD#: 169919 / SEC#: , 8-69397
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HUNT CAPITAL HOLDINGS INVESTMENTS, LLC | 100% MEMBER | |
| GUZMAN, JEFFREY M | CCO | 3095123 |
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.
