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SK

Sandra M. Koerner

ALPINA CAPITAL
DENVER, CO 80206
Some features on this profile are disabled
CRD#: 5470506
SK

Professional summary

Sandra Michelle Koerner, who also goes by Sandra Michelle Gutin, Sandy Koerner, is a registered financial professional currently at ALPINA CAPITAL, LLC located in Denver, Colorado.

Sandra is registered as a RR (Registered Representative) and started their career in finance in 2013. Sandra has worked at 1 firm and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sandra Michelle Gutin | Sandy Koerner

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) - BD

Click below to view Sandra Michelle Koerner's CRS (Customer Relationship Summary).

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

Current

March 26, 2013 - Present

ALPINA CAPITAL, LLC

Office #1: 55 Madison Street Suite 525, Denver, CO 80206
BD
CRD#: 145794
DENVER, CO

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Colorado
(5/9/2013)

Exams

State Security Law Exam
RR
Series 63
Date: 6/18/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/25/2013
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/25/2016
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AC
ALPINA CAPITAL, LLC
ALPINA CAPITAL, LLC

CRD#: 145794 / SEC#: , 8-67753

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
55 Madison Street Suite 525, Denver, CO 80206
Mailing Address
55 Madison Street Suite 525, Denver, CO 80206
Phone number
(205) 910-1552
Established
Colorado since 01/03/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (27 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SODEN, WILLIAM SCOTTCCO, AMLCO, MANAGING MEMBER
BARTOLETTI, DANTE PAULFINOP, CFO4541866
KOERNER, SANDRA MICHELLEOPERATIONS DIRECTOR5470506

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.

Company Information

ALPINA CAPITAL, LLC

CRD#: 145794Denver, CO 80206

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