Sandra A. Cavanaugh
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 Allen Cavanaugh, who also goes by Sandra Lenore Allen, Sandra Lenore Cavanaugh, Sandy Cavanaugh, Sandra Lenore, was a registered financial professional .
Sandra is a previously registered financial professional and started their career in finance in 1981. Sandra had worked at 11 firms and has passed the Series 63, SIE, Series 7 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
January 19, 2010 - July 7, 2016
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
November 3, 2004 - January 7, 2009
WAMU INVESTMENTS, INC.
June 30, 1998 - September 3, 1999
WM FUND SERVICES, INC.
December 4, 1997 - November 2, 2004
PRINCIPAL FUNDS DISTRIBUTOR, INC.
May 3, 1996 - September 9, 1997
INVESCO DISTRIBUTORS, INC.
December 15, 1994 - May 9, 1996
FIRST INTERSTATE INVESTMENTS,INC.
July 25, 1989 - November 12, 1994
ASB FINANCIAL SERVICES
January 27, 1988 - August 2, 1988
GLENFED BROKERAGE SERVICES
May 4, 1987 - January 22, 1988
CAPITAL BROKERAGE CORPORATION
September 10, 1985 - June 8, 1987
TITAN/VALUE EQUITIES GROUP, INC.
June 23, 1981 - March 8, 1984
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
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
Current Firm
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
CRD#: 21771 / SEC#: , 8-39227
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RUSSELL INVESTMENT MANAGEMENT, LLC | CORPORATE PARENT OF APPLICANT | |
| ALVAREZ, CARLOS CID | US BROKER-DEALER CHIEF COMPLIANCE OFFICER | 5689384 |
| ERICKSON, ROSS EDWARD | DIRECTOR | 3003283 |
| JUNG, BRAD EDWARD | CHAIRMAN AND PRESIDENT | 2419757 |
| SIEGEL, DAVID ANDREW | FINANCIAL AND OPERATIONS PRINCIPAL | 7440274 |
| SURLOFF, HOWARD BRIAN | CHIEF LEGAL OFFICER | 7525747 |
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.
