SS

Scott D. Sandoval

Some features on this profile are disabled
CRD#: 873965
SS

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.

Scott David Sandoval was a registered financial professional .

Scott is a previously registered financial professional and started their career in finance in 1979. Scott had worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer


Are you a "fiduciary"?
No

Aliases


None

Other business activities


Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

CRS (Client Relationship Summary)


The CRS(Customer Relationship Summary) document is not provided.

Certified licenses


Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience


Past

September 9, 2011 - December 31, 2017

SPENCER EDWARDS, INC.

BD
CRD#: 22067
CENTENNIAL, CO
Past

September 30, 2002 - June 17, 2011

J.P. TURNER & COMPANY, L.L.C.

BD
CRD#: 43177
DENVER, CO
Past

February 15, 2001 - September 30, 2002

SCHNEIDER SECURITIES, INC.

BD
CRD#: 16434
DENVER, CO
Past

September 24, 1986 - March 8, 2001

NTB FINANCIAL CORPORATION

BD
CRD#: 7425
HIGHLANDS RANCH, CO
Past

August 29, 1986 - October 22, 1986

TRI-BRADLEY INVESTMENTS

BD
CRD#: 14208
Past

July 25, 1985 - November 25, 1986

POWER SECURITIES CORPORATION

BD
CRD#: 15527
Past

February 27, 1985 - August 2, 1985

NTB FINANCIAL CORPORATION

BD
CRD#: 7425
Past

April 13, 1982 - February 27, 1985

WALL STREET WEST, INC.

BD
CRD#: 7529
Past

November 23, 1979 - October 20, 1982

FIRST COLORADO INVESTMENTS & SECURITIES, INC.

BD
CRD#: 6929

State Registrations and Notice Filings


Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams


State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam

Current Firm


SE
SPENCER EDWARDS, INC.
EMERALD SECURITIES, INC. | WORLD SECURITIES CORPORATION | SPENCER EDWARDS, INC.

CRD#: 22067 / SEC#: , 8-39511

BD
Terminated by SEC on 03/01/2019
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information


Main Address
Mailing Address
Phone number
Established
Colorado since 10/22/1987
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents


Direct owners and executive officers


NamePositionCRD#
PRIMARC HOLDING CORP.PARENT COMPANY
FLEMMING, DONNA JEANCHIEF FINANCIAL OFFICER/FINOP1791388
FLEMMING, DONNA JEANPRESIDENT, CHIEF EXECUTIVE OFFICER1791388
KASZYCKI, JOHN EDWARDCHIEF COMPLIANCE OFFICER264844
RICHARDSON, THOMAS CRAIGMANAGER OF TRADING867402

Disclosures


Regulatory Event18
Arbitration2

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.

Company Information


SPENCER EDWARDS, INC.

CRD#: 22067

TRUST BUT VERIFY

Monitor Scott Sandoval

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors


Guy David Peel
Guy PeelAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Helena, MT
Mark Brown
Mark BrownAdvisorCheck Check Mark
AUSDAL FINANCIAL PARTNERS, INC.
IAR
RR
Estero, FL
Jeffrey Paul Meotti
Jeffrey MeottiAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
MADISON, CT
footer-logo

AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.