Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sandra? Claim Your ProfileSandra Lynn Chism is a registered investment advisor representative with Oppenheimer & Co. Inc. based in Kansas City, MO. Sandra Lynn Chism has been in the financial services industry since 1992. Prior to joining Oppenheimer & Co. Inc., Sandra Lynn Chism was registered with SECURITY INVESTMENT COMPANY OF KANSAS CITY, GEORGE K. BAUM & COMPANY, and GEORGE K. BAUM & COMPANY. Sandra Lynn Chism holds the Series 4, 7, 9, 10, 24, 52TO, 53, 55, 57TO, and 63 securities licenses and the Series 65 investment advisor license.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
MO
05/17/2016 - Present
Oppenheimer & Co. Inc. (KANSAS CITY MO)
MO
10/19/1999 - 12/31/2001
SECURITY INVESTMENT COMPANY OF KANSAS CITY (KANSAS CITY MO)
MO
05/31/1994 - 10/25/1999
GEORGE K. BAUM & COMPANY (KANSAS CITY MO)
MO
02/17/1992 - 05/31/1994
GEORGE K. BAUM & COMPANY (KANSAS CITY MO)
IA
Issued 10/17/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/04/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/17/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/17/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/27/2000
Series 4 - Registered Options Principal Examination
BC
Issued 11/07/2000
Series 53 - Municipal Securities Principal Examination
BC
Issued 12/07/1999
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/21/2002
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 02/12/1992
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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