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Dominic SAMUEL Sands
DOMINIC SAMUEL SANDS
CRD#: 6970197
IA
Investment Adviser
B
Broker
CHARLES SCHWAB & CO., INC.CRD#: 5393 10920 Via Frontera
Suite 100
San Diego, CA 92127-1730
Registration History
201920202021202220232024202520262 FIRMS2022 - Present (3 years)BTD AMERITRADE, INC. (CRD# 7870)2020 - 2024 (4 years)BTD AMERITRADE, INC. (CRD# 7870)2019 - 2019 (<1 year)IATD AMERITRADE INVESTMENT MANAG... (CRD# 111514)2020 - 2023 (3 years)IATD AMERITRADE, INC. (CRD# 7870)2020 - 2022 (2 years)
License(s)

State Registrations

B
Alaska 9/18/2024

B
Massachusetts 6/29/2024

B
Arizona 1/26/2022

B
Oklahoma 9/18/2024

B
California 1/26/2022

B
Oregon 2/16/2022

IA
California 1/26/2022

B
Tennessee 7/8/2022

B
Colorado 7/8/2022

B
Utah 1/31/2022

B
Hawaii 9/18/2024

B
Washington 1/26/2022

B
Illinois 12/21/2022

SRO Registrations

B
FINRA

B
Nasdaq Stock Market

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CHARLES SCHWAB & CO., INC. (CRD#:5393)
10920 Via Frontera Suite 100, San Diego, CA 92127-1730
Registered with this firm since 1/26/2022

B
CHARLES SCHWAB & CO., INC. (CRD#:5393)
10920 Via Frontera Suite 100, San Diego, CA 92127-1730
Registered with this firm since 1/26/2022

Previous Registration(s)
th hidden textth hidden textNameLocation
B
02/25/2020 - 07/29/2024 TD AMERITRADE, INC. (CRD#:7870) San Diego, CA
IA
02/25/2020 - 09/07/2023 TD AMERITRADE INVESTMENT MANAGEMENT, LLC (CRD#:111514) San Diego, CA
IA
02/25/2020 - 10/14/2022 TD AMERITRADE, INC. (CRD#:7870) San Diego, CA
B
08/23/2019 - 10/26/2019 TD AMERITRADE, INC. (CRD#:7870) SAN DIEGO, CA
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B
Broker
IA
Investment Adviser
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.