Sandra S. Balch
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 Sue Balch, who also goes by Sandra Burelison Balch, Sandra Sue Burelison, Sandra Sue Larue, was a registered financial professional .
Sandra is a previously registered financial professional and started their career in finance in 1981. Sandra had worked at 8 firms and has passed the Series 66, Series 63, Series 5, Series 7, Series 14, Series 53, Series 27, Series 4 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
September 11, 2008 - January 3, 2014
SCOTTRADE, INC.
January 1, 2008 - September 11, 2008
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - September 11, 2008
WELLS FARGO CLEARING SERVICES, LLC
January 9, 2007 - January 1, 2008
A. G. EDWARDS & SONS, INC.
November 30, 2005 - December 31, 2006
A. G. EDWARDS & SONS, INC.
July 28, 1997 - January 3, 2008
A. G. EDWARDS & SONS, INC.
June 21, 1997 - July 1, 1997
MERCANTILE INVESTMENT SERVICES, INC.
August 6, 1990 - January 1, 1994
INFINET SECURITIES, INC.
April 30, 1990 - June 21, 1997
MARK TWAIN BROKERAGE SERVICES, INC.
December 15, 1983 - May 4, 1990
ALVERY BARTLETT BROKERAGE CO.
June 23, 1981 - November 30, 1982
CLAYTON BROKERAGE CO. OF ST. LOUIS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 11/16/1981
Interest Rate Options ExaminationCurrent Firm
SCOTTRADE, INC.
CRD#: 8206 / SEC#: , 8-24760
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TD AMERITRADE ONLINE HOLDINGS CORP. | OWNER | |
| BOUDROT, SUSAN M | CHIEF COMPLIANCE OFFICER | 2472538 |
| BOYLE, STEPHEN JOHN | CHIEF FINANCIAL OFFICER | 6501238 |
| DESILVA, PETER JAMES | PRESIDENT, DIRECTOR | 1740057 |
| KIMM, DAVID ROBERT | CHIEF RISK OFFICER | 722941 |
| NALLY, THOMAS ANDREW | EVP, INSTITUTIONAL SERVICES | 2479301 |
| QUIRK, STEVEN MARK | SVP, TRADER GROUP | 2728768 |
| RICKETTS, JUDITH K | VP, MD OPERATIONS | 2758924 |
| YATES, WILLIAM THOMAS | TREASURER, FINOP | 2749545 |
Disclosures
| Regulatory Event | 51 |
| Arbitration | 33 |
| Bond | 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.
