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Victor H. Sandoval

SCOTIA CAPITAL (USA)
Houston, TX 77002
Some features on this profile are disabled
CRD#: 7231489
VS

Professional summary

Victor Hugo Sandoval, who also goes by VIctor Sandoval, is a registered financial professional currently at SCOTIA CAPITAL (USA) INC. located in Houston, Texas.

Victor is registered as a RR (Registered Representative) and started their career in finance in 2021. Victor has worked at 3 firms and has passed the Series 63, Series 79TO, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Victor Sandoval

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 Victor Hugo Sandoval'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

May 1, 2024 - Present

SCOTIA CAPITAL (USA) INC.

Office #1: Pennzoil Place - South Tower 711 Louisiana, Suite 1400, Houston, TX 77002
BD
CRD#: 2739
Houston, TX
Past

October 7, 2022 - April 25, 2024

HOULIHAN LOKEY CAPITAL, INC.

BD
CRD#: 17708
Dallas, TX
Past

July 19, 2021 - September 19, 2022

TD SECURITIES (USA) LLC

BD
CRD#: 18476
HOUSTON, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(5/1/2024)
RR
Alaska
(5/1/2024)
RR
Arizona
(5/1/2024)
RR
Arkansas
(5/1/2024)
RR
California
(5/1/2024)
RR
Colorado
(5/1/2024)
RR
Connecticut
(5/1/2024)
RR
Delaware
(5/1/2024)
RR
District of Columbia
(5/1/2024)
RR
Florida
(5/1/2024)
RR
Georgia
(5/1/2024)
RR
Hawaii
(5/1/2024)
RR
Idaho
(5/1/2024)
RR
Illinois
(5/1/2024)
RR
Indiana
(5/1/2024)
RR
Iowa
(5/1/2024)
RR
Kansas
(5/1/2024)
RR
Kentucky
(5/1/2024)
RR
Louisiana
(5/1/2024)
RR
Maine
(5/1/2024)
RR
Maryland
(5/1/2024)
RR
Massachusetts
(5/1/2024)
RR
Michigan
(5/1/2024)
RR
Minnesota
(5/1/2024)
RR
Mississippi
(5/1/2024)
RR
Missouri
(5/1/2024)
RR
Montana
(5/1/2024)
RR
Nebraska
(5/1/2024)
RR
Nevada
(5/1/2024)
RR
New Hampshire
(5/1/2024)
RR
New Jersey
(5/1/2024)
RR
New Mexico
(5/1/2024)
RR
New York
(5/1/2024)
RR
North Carolina
(5/1/2024)
RR
North Dakota
(5/1/2024)
RR
Ohio
(5/2/2024)
RR
Oklahoma
(5/1/2024)
RR
Oregon
(5/1/2024)
RR
Pennsylvania
(5/1/2024)
RR
Puerto Rico
(5/1/2024)
RR
Rhode Island
(5/1/2024)
RR
South Carolina
(5/1/2024)
RR
South Dakota
(5/1/2024)
RR
Tennessee
(5/1/2024)
RR
Texas
(5/1/2024)
RR
Utah
(5/1/2024)
RR
Vermont
(5/1/2024)
RR
Virginia
(5/1/2024)
RR
Washington
(5/1/2024)
RR
West Virginia
(5/1/2024)
RR
Wisconsin
(5/1/2024)
RR
Wyoming
(5/1/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 7/23/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 8/2/2021
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7TO
Date: 7/19/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 7/2/2021
Securities Industry Essentials Examination
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

SCOTIA CAPITAL (USA) INC.
SCOTIA CAPITAL (USA) INC.
HOWARD WEIL (A DIVISION OF SCOTIABANK) | SCOTIAMCLEOD (USA) INC. | SCOTIA HOWARD WEIL | SCOTIA CAPITAL MARKETS (USA) INC. | SCOTIA CAPITAL (USA) INC. | MCLEOD YOUNG WEIR INCORPORATED

CRD#: 2739 / SEC#: , 8-3716

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

Main Address
250 Vesey Street, New York, NY 10281
Mailing Address
250 Vesey Street, New York, NY 10281
Phone number
(212) 225-6500
Established
New York since 11/25/1939
Firm type
Corporation
Fiscal year end
October
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
SCOTIA HOLDINGS (USA) LLCSOLE SHAREHOLDER
ATTIA, MONCEFBOARD MEMBER4852031
DUSSEAU, SEAN MICHAELCHIEF OPERATING OFFICER & BOARD MEMBER6628832
GALANTE, ANTHONY JAMESCHIEF FINANCIAL OFFICER2168905
GEORGALAS, ANDREAS ZANISCHIEF LEGAL OFFICER4769326
GOHMAN, BENJAMIN EBOARD MEMBER4835406
KAUSHIK, KSHAMTACHAIR OF THE BOARD AND PRESIDENT AND CHIEF EXECUTIVE OFFICER7523252
KHAN, ARIF KAMALCHIEF COMPLIANCE OFFICER5011278
NATHANSON, GARYBOARD MEMBER4825746
PATEL, HEMANGCHIEF OPERATIONS OFFICER8032984
WANG, ELSA YI-HUIBOARD MEMBER5984605
WILSON, MARC-ANDREBOARD MEMBER6455732

Disclosures

Regulatory Event9

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

SCOTIA CAPITAL (USA) INC.

SCOTIA CAPITAL (USA) INC.

CRD#: 2739Houston, TX 77002

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