Sandra Lyn Riege
Professional Summary
Sandra Lyn Riege, who also goes by Sandra Lyn Petersen, was a registered financial advisor. Sandra was a previously registered financial professional and started their career in finance 2015 - 2017. Sandra had worked at 1 firm and has passed the Series 28 exam.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Sandra Lyn Petersen
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
11 years in the financial services industry
Current & Past Employments
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Current Firm
THREE LAKES SECURITIES, LLC
Contact Information
Main Address
828 John Nolen Drive, Madison, WI 53713Established
Wisconsin since 08/27/2009Firm Type
Limited Liability CompanyFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| M3 INSURANCE SOLUTIONS, INC. | MEMBER | — |
| CHAMBAS, COREY ALLYN | DIRECTOR | — |
| CLARK, JEFFREY SCOTT | DIRECTOR | 6426176 |
| DONLEY, ELIZABETH LEAROGGENSACK | DIRECTOR | 2040722 |
| FREDRICK, JACQUELYN | DIRECTOR | 6424727 |
| GOLDEN, THOMAS JOHN | ELECTED MANAGER | — |
| HENDERSON, CHRISTOPHER ROBIN | ELECTED MANAGER & CCO | 3266542 |
| RIEGE, SANDRA LYN | FINOP | 6484976 |
| VALENTYN, TIM ROBERT | DIRECTOR | — |
| VICTORSON, MICHAEL E | DIRECTOR | — |
| YEAGER, JAMES HOWARD | DIRECTOR | 1310957 |
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Jul 2015About the Series 28 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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