Sanders Shanks
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.
Sanders Shanks, who also goes by Sandy Shanks, was a registered financial professional .
Sanders is a previously registered financial professional and started their career in finance in 1978. Sanders had worked at 10 firms and has passed the SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2010 - August 6, 2015
SENTINEL BROKERS COMPANY, INC.
February 11, 2003 - January 4, 2010
W.A. CAPITAL MARKETS
November 26, 2001 - December 17, 2002
TULLETT PREBON FINANCIAL SERVICES LLC
July 3, 2000 - October 1, 2000
MJK CLEARING, INC.
June 17, 1998 - November 15, 2001
R.W. SMITH & ASSOCIATES, LLC
August 11, 1995 - June 9, 1998
TITUS & DONNELLY LLC
January 23, 1991 - July 25, 1995
R.W. SMITH & ASSOCIATES, LLC
January 21, 1986 - January 15, 1991
MORGAN STANLEY DW INC.
August 16, 1983 - February 10, 1986
CANTOR, FITZGERALD MUNICIPAL BROKERS, INC.
June 25, 1979 - July 18, 1983
LEHMAN BROTHERS INC.
December 1, 1978 - June 25, 1979
LOEB PARTNERS
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
SENTINEL BROKERS COMPANY, INC.
CRD#: 40305 / SEC#: , 8-49005
Contact information
FINRA licenses (5 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SENTINEL BROKERS LLC | SHAREHOLDER | |
| SED CAPITAL PTE LTD | OWNER | |
| LAWLESS, JOSEPH MATHEW | CEO, CCO | 1783307 |
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.
