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Andrea Sanchez

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CRD#: 5401265
AS

Professional summary

Andrea Sanchez MRS was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Andrea is a previously registered financial professional and started their career in finance in 2007. Prior to being barred, Andrea had worked at 2 firms, which includes NSM SECURITIES INC., MAX INTERNATIONAL BROKER/DEALER CORP..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Andrea Sanchez | Drea Sanchez

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

July 31, 2012 - January 17, 2014

NSM SECURITIES, INC.

BD
CRD#: 134357
NEW YORK, NY
Past

August 16, 2007 - January 29, 2013

MAX INTERNATIONAL BROKER/DEALER CORP.

BD
CRD#: 46039
NEW YORK, NY

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: 9/27/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 8/15/2007
General Securities Representative Examination

Current Firm

NS
NSM SECURITIES, INC.
NSM SECURITIES, INC.

CRD#: 134357 / SEC#: , 8-67150

BD
Terminated by SEC on 03/23/2014
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 12/19/2003
Firm type
Corporation
Fiscal year end
November
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BHASIN, NIYUKT RAGHUPRESIDENT/CEO/CHIEF COMPLIANCE OFFICER2282048
ANGULO, IVAN DARIOPRINCIPAL4951519
BROWN, MICHAEL OWENFINOP/CFO1658070
YOUNG, KEVIN MROPTIONS PRINCIPAL4692991

Disclosures

Regulatory Event4
Arbitration5

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

NSM SECURITIES, INC.

CRD#: 134357

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