Sandra K. Sausley
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 Kay Sausley, who also goes by Sandra Kloesel, Sandra Kloesel Welch, was a registered financial professional .
Sandra is a previously registered financial professional and started their career in finance in 1981. Sandra had worked at 2 firms and has passed the Series 63, Series 7, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 21, 1986 - February 11, 2013
SAUSLEY SECURITIES, INC.
June 22, 1981 - September 9, 1985
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SAUSLEY SECURITIES, INC.
CRD#: 17742 / SEC#: , 8-35609
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAUSLEY, SANDRA KAY | CHIEF COMPLIANCE OFFICER | 732566 |
| SAUSLEY, SANDRA KAY | PRESIDENT/OWNER |
Disclosures
| Regulatory Event | 1 |
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.
