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CS

Carl Sandmann

HARBOR FUNDS DISTRIBUTORS
BOSTON, MA 02110
Some features on this profile are disabled
CRD#: 6605897
CS

Professional summary

Carl Sandmann, who also goes by Carl Joseph Sandmann, Carl Sandmann, is a registered financial professional currently at HARBOR FUNDS DISTRIBUTORS, INC. located in Boston, Massachusetts.

Carl is registered as a RR (Registered Representative) and started their career in finance in 2016. Carl has worked at 11 firms and has passed the SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Carl Joseph Sandmann | Carl Sandmann

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 Carl Sandmann'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

November 18, 2024 - Present

HARBOR FUNDS DISTRIBUTORS, INC.

Office #1: 33 Arch Street, Boston, MA 02110
BD
CRD#: 113506
BOSTON, MA
Past

May 31, 2023 - November 1, 2024

LADENBURG THALMANN & CO. INC.

BD
CRD#: 505
NEW YORK, NY
Past

April 17, 2023 - October 11, 2024

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

BD
CRD#: 18487
HOLBROOK, NY
Past

April 17, 2023 - November 1, 2024

OSAIC INSTITUTIONS, INC.

BD
CRD#: 35371
MERIDEN, CT
Past

November 23, 2021 - September 1, 2023

OSAIC SERVICES, INC.

BD
CRD#: 133763
SCOTTSDALE, AZ
Past

November 23, 2021 - November 3, 2023

FSC SECURITIES CORPORATION

BD
CRD#: 7461
ATLANTA, GA
Past

November 23, 2021 - January 19, 2024

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
OAKDALE, MN
Past

November 23, 2021 - June 14, 2024

SECURITIES AMERICA, INC.

BD
CRD#: 10205
LAVISTA, NE
Past

November 23, 2021 - August 23, 2024

TRIAD ADVISORS LLC

BD
CRD#: 25803
ATLANTA, GA
Past

November 23, 2021 - November 1, 2024

OSAIC WEALTH, INC.

BD
CRD#: 23131
SCOTTSDALE, AZ
Past

February 25, 2016 - November 1, 2021

ALLIANZ LIFE FINANCIAL SERVICES, LLC

BD
CRD#: 612
MINNEAPOLIS, MN

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

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/25/2016
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/28/2016
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

HF
HARBOR FUNDS DISTRIBUTORS, INC.
BCA SECURITIES, INC. | HCA SECURITIES, INC. | HARBOR FUNDS DISTRIBUTORS, INC.

CRD#: 113506 / SEC#: , 8-53339

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

Main Address
111 South Wacker Drive 34th Floor, Chicago, IL 60606
Mailing Address
111 South Wacker Drive 34th Floor, Chicago, IL 60606
Phone number
(312) 443-4420
Established
Delaware since 02/21/2001
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
HARBOR CAPITAL ADVISORS, INC.SHAREHOLDER
HALABY, JOHN STEVEPRESIDENT AND DIRECTOR2543904
KUNKEL, JACOB JEFFREYCHIEF FINANCIAL OFFICER AND TREASURER6108628
MCCAIN, CHARLES FREDERICKCHIEF EXECUTIVE OFFICER AND DIRECTOR4865638
NEE, STEPHANIE ANNCHIEF COMPLIANCE OFFICER4968097

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

HARBOR FUNDS DISTRIBUTORS, INC.

CRD#: 113506Boston, MA 02110

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