Sandeep K. Jones
Professional summary
Sandeep Kaur Jones, who also goes by Sandeep K Guram, Sandeep Kaur Guram, Sandeep Kaur Jones, Sandy Kaur Jones, Sandeep Kaur Jones, Sandy Kaur Jones, is a registered financial professional currently at NYLIFE SECURITIES LLC located in Alpharetta, Georgia.
Sandeep is registered as a RR (Registered Representative) and started their career in finance in 2006. Sandeep has worked at 3 firms and has passed the Series 66, Series 7TO, SIE, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Sandeep Kaur Jones's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 2, 2021 - Present
NYLIFE SECURITIES LLC
Office #1: 1125 Cambridge Square Suite C, Alpharetta, GA 30009December 18, 2007 - March 5, 2009
TRUIST INVESTMENT SERVICES, INC.
December 12, 2007 - March 5, 2009
TRUIST INVESTMENT SERVICES, INC.
May 17, 2006 - December 7, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 23, 2006 - December 7, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 7TO
Date: 7/1/2021
General Securities Representative ExaminationFINRA
Current Firm
NYLIFE SECURITIES LLC
CRD#: 5167 / SEC#: , 8-15517
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NYLIFE LLC. | SHAREHOLDER | |
| BAGTAS, ANGELA CHEN | ELECTED MANAGER | 8172856 |
| BOCCIO, JOHN MICHAEL | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 4600977 |
| DUARTE, DEBORAH LYNN | ELECTED MANAGER | 6090278 |
| ENGELBRECHTSEN, TOM DAHL | CORPORATE VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 2908809 |
| FEINBERG, AMARYA NMN | ELECTED MANAGER | 8162482 |
| HUANG, DYLAN WEI | ELECTED MANAGER AND CHAIRMAN | 6233208 |
| LOFTUS, PATRICIA ELIZABETH | CORPORATE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 2156131 |
| SCHWARTZ, RACHEL SABRINA | VICE PRESIDENT AND ASSOCIATE GENERAL COUNSEL | 8170474 |
| TILLOTSON, SANDRA G | ELECTED MANAGER | 7617600 |
| VIRENDRA, SONALI NMN | ELECTED MANAGER | 2404467 |
| ZAMAN, NABEED | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6410914 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 7 |
Red Flags
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