Individual Firm
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STANWOOD CHANDLER SWEETSER
CHANDLER SWEETSER, S.CHANDLER SWEETSER JR, STANWOOD CHANDLER SWEETSER JR
CRD#: 2165198
IA
B
RAYMOND JAMES & ASSOCIATES, INC.CRD#: 705 2 N. TAMIAMI TRAIL
SUITE 804
SARASOTA, FL 34236
SUITE 804
SARASOTA, FL 34236
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2/7/2012
Customer Dispute
Denied
12/6/2011
Customer Dispute
Denied
5/20/2011
Customer Dispute
Denied
10/28/2008
Customer Dispute
Denied
State Registrations
B
Alabama 9/5/2019
B
Nevada 8/16/2023
B
Arizona 6/25/2020
B
New Hampshire 4/16/2020
B
California 5/15/2020
B
New Jersey 8/30/2019
B
Florida 8/30/2019
B
New York 6/25/2020
IA
Florida 9/3/2019
B
Ohio 6/26/2020
B
Illinois 9/12/2019
B
Oklahoma 8/30/2019
B
Indiana 6/25/2020
B
Pennsylvania 8/30/2019
B
Kentucky 11/15/2019
B
South Carolina 8/30/2019
B
Maine 6/25/2020
B
Texas 9/3/2019
B
Maryland 8/30/2019
IA
Texas 9/3/2019
B
Massachusetts 9/5/2019
B
Virginia 1/16/2024
B
Michigan 6/25/2020
B
Washington 8/13/2024
B
Missouri 10/24/2024
SRO Registrations
B
B
B
B
B
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IA
Registered with this firm since 9/3/2019
B
Registered with this firm since 8/30/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/06/2014 - 09/04/2019 | SARASOTA, FL | |
B | 11/06/2014 - 09/04/2019 | SARASOTA, FL | |
IA | 05/01/2009 - 11/14/2014 | SARASOTA, FL | |
B | 04/23/2009 - 11/14/2014 | SARASOTA, FL | |
IA | 08/27/1991 - 05/14/2009 | SARASOTA, FL | |
B | 08/26/1991 - 05/14/2009 | SARASOTA, FL |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.