Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sandy? Claim Your ProfileSandy Bau is a financial professional with over 10 years of experience in the industry. Sandy is currently registered with TD Securities (usa) LLC and has held previous positions with DVB Capital Markets LLC and Commerz Markets LLC. Sandy is Series 7, 63, 79 and SIE licensed.
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.
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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2
NY
10/02/2017 - Present
TD Securities (usa) LLC (NEW YORK NY)
NY
04/04/2012 - 09/20/2013
DVB CAPITAL MARKETS LLC (NEW YORK NY)
NY
08/12/2011 - 02/16/2012
COMMERZ MARKETS LLC (NEW YORK NY)
NJ
08/16/2000 - 08/02/2004
TULLETT LIBERTY BROKERAGE INC. (JERSEY CITY NJ)
BC
Issued 11/06/2017
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/02/2017
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 08/11/2011
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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