Sandra L. Riege
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Sandra Lyn Riege, who also goes by Sandra Lyn Petersen, was a registered financial professional .
Sandra is a previously registered financial professional and started their career in finance in 2015. Sandra had worked at 1 firm and has passed the Series 28 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 9, 2015 - December 31, 2017
THREE LAKES SECURITIES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 28
Date: 7/9/2015
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
THREE LAKES SECURITIES, LLC
CRD#: 152147 / SEC#: , 8-68429
Contact information
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 |
Red Flags
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