Scott D. Sandoval
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
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 9, 2011 - December 31, 2017
SPENCER EDWARDS, INC.
September 30, 2002 - June 17, 2011
J.P. TURNER & COMPANY, L.L.C.
February 15, 2001 - September 30, 2002
SCHNEIDER SECURITIES, INC.
September 24, 1986 - March 8, 2001
NTB FINANCIAL CORPORATION
August 29, 1986 - October 22, 1986
TRI-BRADLEY INVESTMENTS
July 25, 1985 - November 25, 1986
POWER SECURITIES CORPORATION
February 27, 1985 - August 2, 1985
NTB FINANCIAL CORPORATION
April 13, 1982 - February 27, 1985
WALL STREET WEST, INC.
November 23, 1979 - October 20, 1982
FIRST COLORADO INVESTMENTS & SECURITIES, 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
Current Firm
SPENCER EDWARDS, INC.
CRD#: 22067 / SEC#: , 8-39511
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 18 |
| Arbitration | 2 |
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.
