Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
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Detailed Report
ALBERTO SANCHEZ
J ALBERTO SANCHEZ, JOSE ALBERTO SANCHEZ, ALBERTO SANCHEZ-BANARD, J ALBERTO SANCHEZ-BANARD, JOSE ALBERTO SANCHEZ-BANARD
CRD#: 4577983
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Previous Investment Adviser
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Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
200420062008201020122014201620182020IASAGEPOINT FINANCIAL, INC. (CRD# 133763)2018 - 2019 (<1 year)IAMML INVESTORS SERVICES, LLC (CRD# 10409)2017 - 2018 (<1 year)IAPRINCIPAL SECURITIES, INC. (CRD# 1137)2013 - 2017 (4 years)IAMETLIFE SECURITIES INC. (CRD# 14251)2004 - 2013 (8 years)IAAXA ADVISORS, LLC (CRD# 6627)2003 - 2004 (<1 year)
Disclosure(s)
View By:
6/3/2019
Regulatory
Final
1/5/2011
Customer Dispute
Closed-No Action
6/10/2009
Customer Dispute
Settled
Previous Registration(s)
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 09/25/2018 - 05/21/2019 SAGEPOINT FINANCIAL, INC. (CRD#:133763) FORT LAUDERDALE, FL
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 11/21/2017 - 06/12/2018 MML INVESTORS SERVICES, LLC (CRD#:10409) FORT LAUDERDALE, FL
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 03/04/2013 - 11/27/2017 PRINCIPAL SECURITIES, INC. (CRD#:1137) FT LAUDERDALE, FL
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 09/22/2004 - 02/20/2013 METLIFE SECURITIES INC. (CRD#:14251) PLANTATION, FL
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 09/19/2003 - 05/20/2004 AXA ADVISORS, LLC (CRD#:6627) MIAMI, FL
For additional information about investment advisers or broker-dealers, please visit
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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.
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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
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.