Sandra B. Keene

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CRD#: 721621

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 Baseman Keene, who also goes by Sandra L Baseman, Sandra Libbie Baseman, Sandra Libbie Keene, was a registered financial professional .

Sandra is a previously registered financial professional and started their career in finance in 1980. Sandra had worked at 9 firms and has passed the Series 63, Series 7, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Sandra L Baseman | Sandra Libbie Baseman | Sandra Libbie Keene

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 10, 1999 - June 22, 2012

FPC INVESTMENT ADVISORY, INC.

RIA

CRD#: 122728

SAN JOSE, CA

Past

January 1, 1999 - April 28, 1999

LORING WARD SECURITIES INC.

CRD#: 46337

SAN JOSE, CA

Past

February 5, 1994 - January 1, 1999

REINHARDT WERBA BOWEN SECURITIES, INC.

CRD#: 34202

SAN JOSE, CA

Past

October 12, 1989 - July 22, 1993

PROTECTED INVESTORS OF AMERICA

CRD#: 6082

SAN FRANCISCO, CA

Past

November 3, 1988 - October 24, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

June 3, 1986 - November 3, 1988

CHRISTOPHER WEIL & COMPANY, INC

CRD#: 6566

Past

July 3, 1984 - June 11, 1986

JUDY & ROBINSON SECURITIES, INC

CRD#: 2378

Past

March 12, 1982 - July 12, 1984

SOUTHMARK FINANCIAL SERVICES, INC.

CRD#: 6518

Past

December 18, 1980 - March 23, 1982

WADDELL & REED

CRD#: 866

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

FPC INVESTMENT ADVISORY, INC.

FPC INVESTMENT ADVISORY, INC | FPC WEALTH | FPC INVESTMENT ADVISORY, INC.

CRD#: 122728 / SEC#: 801-112493

RIA

Registered Investment Advisory firm - (2/26/2018 Approved)

Arizona

Registered Investment Advisory firm - (3/1/2018 Terminated)

California

Registered Investment Advisory firm - (3/31/2018 Terminated)

Texas

Registered Investment Advisory firm - (3/1/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 10/22/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/17/1982

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 2/2/1981

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 12/16/1980

Investment Company Products/Variable Contracts Representative Examination

Current Firm

FPC INVESTMENT ADVISORY, INC.

FPC INVESTMENT ADVISORY, INC | FPC WEALTH | FPC INVESTMENT ADVISORY, INC.

CRD#: 122728 / SEC#: 801-112493

RIA

Registered Investment Advisory firm - (2/26/2018 Approved)

Arizona

Registered Investment Advisory firm - (3/1/2018 Terminated)

California

Registered Investment Advisory firm - (3/31/2018 Terminated)

Texas

Registered Investment Advisory firm - (3/1/2018 Terminated)

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Contact information

Main Address

1465 North Mcdowell Blvd Suite 170, Petaluma, CA 94954

Mailing Address

P.o. Box 750129, Petaluma, CA 94975

Phone number

(707) 795-0500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2A BROCHURE (11/8/2024)

Regulatory assets under management

Total Number of Accounts	694
AUM (Assets Under Management)	$ 297,218,585

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.

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Advisor Monitoring

Firm Stability Insights

Sandra B. Keene

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LORING WARD SECURITIES INC.

REINHARDT WERBA BOWEN SECURITIES, INC.

PROTECTED INVESTORS OF AMERICA

INTEGRATED RESOURCES EQUITY CORPORATION

CHRISTOPHER WEIL & COMPANY, INC

JUDY & ROBINSON SECURITIES, INC

SOUTHMARK FINANCIAL SERVICES, INC.

WADDELL & REED

Primary Firm SEC Registration

FPC INVESTMENT ADVISORY, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/22/1987

Series 7

Date: 4/17/1982

Series 22

Date: 2/2/1981

Series 6

Date: 12/16/1980

Current Firm

FPC INVESTMENT ADVISORY, INC.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FPC INVESTMENT ADVISORY, INC.

TRUST BUT VERIFY

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