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Information

Firm:
Type: RIA
Description

Jeffrey Sand is a financial professional at The Rikoon Group, LLC, a $447M RIA. Jeffrey has held an industry securities registration for 19 years and is subject to SEC oversight.

BrightScope Advisor Metrics

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Jeffrey Wayne Sand has not answered any questions on Financial Q&A.

Top Guides

Jeffrey Wayne Sand has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

High Net Worth Individuals
Individuals
Pension and Profit Sharing Plans
Charitable Organizations
Other Investment Advisors

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

Employer Years Dates
Rikoon Carret Wealth Management Group, LLC 9 years, 10 months Jun 2004 - Present
Carret and Company, LLC. 1 year, 8 months Sep 2002 - May 2004
Carret Securities LLC 1 year, 8 months Sep 2002 - May 2004
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 11/08/2007, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

Regulator
License Status
Registered
Not registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
11/08/2007
02/05/2014
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
Uniform Combined State Law Examination Series 66 12/21/2000
Futures Managed Funds Examination Series 31 08/11/1994
Uniform Securities Agent State Law Examination Series 63 08/02/1994
General Securities Representative Examination Series 7 07/21/1994

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Other: SERVICES WITH ADVISORY CLIENTS IN CERTAIN PRIVATE INVESTMENTS