Heath A. Sanders
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.
Heath Alan Sanders, who also goes by Heath A Sanders, was a registered financial professional .
Heath is a previously registered financial professional and started their career in finance in 2002. Heath had worked at 4 firms and has passed the Series 66, SIE, Series 3 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
September 2, 2011 - November 13, 2017
OPTIONSXPRESS, INC.
March 20, 2007 - November 13, 2018
CHARLES SCHWAB & CO., INC.
January 27, 2006 - November 13, 2018
CHARLES SCHWAB & CO., INC.
May 16, 2005 - August 5, 2005
AON SECURITIES LLC
January 13, 2003 - May 10, 2004
UBS FINANCIAL SERVICES INC.
December 6, 2002 - May 10, 2004
UBS FINANCIAL SERVICES INC.
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
OPTIONSXPRESS, INC.
CRD#: 103849 / SEC#: , 8-52354
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 30 |
| Arbitration | 3 |
| Bond | 1 |
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.
