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Ross Adam Sandler

Barclays Capital Inc.

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About Ross Adam Sandler

Ross Adam Sandler is a financial advisor with Barclays Capital Inc. Ross is active in the BrokerCheck scope and is not currently in scope for the Investment Advisor Public Disclosure (IAPD). Ross has been in the financial services industry since March 31, 2001. Ross's previous experience includes time with DEUTSCHE BANK SECURITIES INC., RBC CAPITAL MARKETS, LLC, RBC CAPITAL MARKETS CORPORATION, UBS SECURITIES LLC and PAINEWEBBER INCORPORATED.

Firm Information

Ross Sandler is currently registered with Barclays Capital Inc.. Barclays Capital Inc. is a Corporation formed on March 30, 1998 and is registered in all 50 states, as well as the District of Columbia, Puerto Rico and the Virgin Islands. The firm has a history of regulatory and civil events, with 120 regulatory disclosures and 4 civil disclosures on record.

Not reported

Assets Under Management

Not reported

Total Clients

434

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Ross Sandler’s Registration & Firm History

CA

02/03/2017 - Present

Barclays Capital Inc. (SAN FRANCISCO CA)

CA

08/14/2012 - 02/06/2017

DEUTSCHE BANK SECURITIES INC. (SAN FRANCISCO CA)

NY

02/29/2008 - 06/01/2012

RBC CAPITAL MARKETS, LLC (NEW YORK NY)

NY

01/31/2005 - 02/29/2008

RBC CAPITAL MARKETS CORPORATION (NEW YORK NY)

NY

11/03/2000 - 10/29/2004

UBS SECURITIES LLC (NEW YORK NY)

NJ

10/17/2000 - 11/03/2000

PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)

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Licenses & Designations

BC

Issued 12/05/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/24/2005

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 02/02/2005

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 10/16/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Ross Adam Sandler.
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