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Jeffrey Wayne Sand

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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.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
Rikoon Carret Wealth Management Group, LLC 10 years, 2 months Jun 2004 - Present
Exams
ExamSeriesPassed Date
Uniform Combined State Law ExaminationSeries 66 12/21/2000
Futures Managed Funds ExaminationSeries 31 08/11/1994
Uniform Securities Agent State Law ExaminationSeries 63 08/02/1994
General Securities Representative ExaminationSeries 7 07/21/1994

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.

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.

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