Sandra L. Godfrey
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 Lynn Lucas Godfrey, who also goes by Sandra Lynn Godfrey, Sandra Lynn Lucas, was a registered financial professional .
Sandra is a previously registered financial professional and started their career in finance in 1979. Sandra had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 5, Series 15, Series 3, Series 7, Series 8 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 5, 2016 - August 30, 2017
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
January 5, 2016 - August 22, 2017
FIRST REPUBLIC SECURITIES COMPANY, LLC
May 6, 2015 - December 2, 2015
RAYMOND JAMES & ASSOCIATES, INC.
May 6, 2015 - December 2, 2015
RAYMOND JAMES & ASSOCIATES, INC.
June 1, 2009 - July 23, 2014
MORGAN STANLEY
June 1, 2009 - July 23, 2014
MORGAN STANLEY
July 8, 1997 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
October 10, 1983 - July 31, 1993
LEHMAN BROTHERS INC.
May 1, 1979 - October 10, 1983
DAVIS, SKAGGS & CO., 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: 10/11/1991
Interest Rate Options ExaminationSeries 15
Date: 10/3/1991
Foreign Currency Options ExaminationSeries 8
Date: 11/21/1983
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
CRD#: 108559 / SEC#: 801-56293
Contact information
Regulatory assets under management
| Total Number of Accounts | 56,585 |
| AUM (Assets Under Management) | $ 86,270,585,130 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2024 | ||
| 02/28/2024 |
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.
