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Sandra K Newberry

Oppenheimer & Co. Inc.

Asheville, NC

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Current Employers
Oppenheimer & Co. Inc.

85 Broad Street 22Nd Floor, New York, NY 10004 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2018-02-01
  • NC RA
    APPROVED
    Since 2018-02-01

Branch Locations

10 Brook Street Suite 290, Asheville, NC 28803 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
First Citizens Investor Services Asheville NC 10/2011 01/2018
Oppenheimer & Co. Inc. Asheville NC 01/2018 Present
  • 10/2011 → 01/2018
    First Citizens Investor Services
    Asheville, NC
  • 01/2018 → Present
    Oppenheimer & Co. Inc.
    Asheville, NC
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-11-28
S63 Uniform Securities Agent State Law Examination 2000-02-23
  • S66 Uniform Combined State Law Examination
    2017-11-28
  • S63 Uniform Securities Agent State Law Examination
    2000-02-23
Other Names
  • Sandra K Phillips
  • Sandra Phillips Newberry
  • Sandra Kay Newberry

View on SEC IAPD

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