Sandy Pan
Professional summary
Sandy Pan, who also goes by Jing Bing Pan, is a registered financial professional currently at CNR SECURITIES, LLC located in New York, New York.
Sandy is registered as a RR (Registered Representative) and started their career in finance in 2010. Sandy has worked at 5 firms and has passed the SIE, Series 99TO and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Sandy Pan's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 26, 2015 - Present
CNR SECURITIES, LLC
Office #1: 400 Park Avenue 6th Floor, New York, NY 10022January 12, 2016 - June 21, 2024
SYMPHONIC SECURITIES LLC
February 23, 2012 - March 11, 2015
ICAP SECURITIES USA LLC
March 14, 2011 - May 20, 2011
VIRTU ITG LLC
September 21, 2010 - December 21, 2010
ELECTRONIC SECURITIES PROCESSING (ESP) 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
CNR SECURITIES, LLC
CRD#: 18466 / SEC#: , 8-36759
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITY NATIONAL ROCHDALE HOLDINGS, LLC | MANAGING MEMBER / 100% OWNER | |
| BANUELOS, ALMA DELIA | BOARD DIRECTOR | 4530705 |
| BARTON, RICHARD JOSEPH | CHIEF COMPLIANCE OFFICER | 2040869 |
| CEPLER, MITCHELL DANIEL | CFO AND FINOP | 4554270 |
| DANIEL, JOBY SWANKUTTY | BOARD DIRECTOR | 6616727 |
| GIAQUINTO, GREGG | PRESIDENT, CEO, & BOARD DIRECTOR | 3182583 |
| O'KEEFFE, IVOR PATRICK | BOARD DIRECTOR | 2397120 |
| RILEY, SHAWN DAVID | BOARD DIRECTOR | 8157413 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
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