Joseph D. Sando
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.
Joseph Donald Sando, who also goes by Joe Donald Sando, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1976. Joseph had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 5, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 25, 2017 - October 1, 2018
FRONTIER SOLUTIONS, LLC
April 25, 2016 - October 20, 2017
MUTUAL TRUST COMPANY OF AMERICA SECURITIES
June 12, 2013 - May 15, 2014
MIDAMERICA FINANCIAL SERVICES, INC.
March 3, 2011 - May 23, 2011
MAPLEWOOD INVESTMENTS, INC.
January 25, 2002 - April 6, 2009
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - April 6, 2009
CITIGROUP GLOBAL MARKETS INC.
April 8, 1985 - July 31, 1993
LEHMAN BROTHERS INC.
August 31, 1983 - April 26, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 31, 1980 - September 19, 1981
MORGAN STANLEY DW INC.
September 26, 1978 - April 25, 1980
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 1, 1976 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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 15
Date: 4/25/1986
Foreign Currency Options ExaminationSeries 5
Date: 4/18/1986
Interest Rate Options ExaminationSeries 8
Date: 9/24/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FRONTIER SOLUTIONS, LLC
CRD#: 136102 / SEC#: , 8-66972
Contact information
FINRA licenses (47 States and Territories)
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.
