Reggie Sandoval
Chief Compliance Officer & Investment Operations Manager
"It is a good financial advisor that can create a new client relationship, but it is the commitment to ongoing service, attention and communication of an exceptional advisor that keeps the relationship."
Reggie Sandoval has over fifteen years experience in the financial services industry. His career includes extensive experience in securities trading, investment product and mutual fund sales, retirement planning, compliance, operations and client service. His wide range of knowledge and expertise allowed him to be a member of a nationally selected team sent to Fidelity Investments' European Operational Headquarters to implement sales, operational and client service strategies and train employees. As a Registered Securities Principal he manages the servicing of client investment and retirement portfolios.
EXPERIENCE - More than 15 years
- Securities Principal and Financial Advisor, Raymond James Financial Services
- Registered Representative, UBS/PaineWebber
- Senior Retirement Specialist, Fidelity Investments
- Operations Service Specialist and Trainer, Fidelity Investments Luxembourg
- Mutual Fund / Brokerage Service and Trading Specialist, Fidelity Investments
EDUCATION
- B.B.A. in Finance, Texas A&M University
- Post graduate studies in Accounting, Finance and Liberal Arts - University of Texas at Dallas
AFFILIATIONS
- NASD General Securities Principal
- NASD General Securities Representative
- NASD Investment Company and Variable Products Representative