Niki Sands, financial advisor Bend OR
83 score

Niki Sands

CRD Number: 1184696
Current Firm: J.p. Morgan Securities LLC

Niki Sands (CRD# 1184696) is an Investment Advisor Representative working at J.p. Morgan Securities LLC in Bend, OR and has over 30 years of experience in the finance industry.

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Company Name Location Dates Years
Jp Morgan Securities LLC Bend, OR Nov 2012 - Current 4
Self Bend, OR Sep 2010 - May 2014 3
Sterling Savings Bank Bend, OR May 2011 - Nov 2012 1
Lpl Financial Charlotte, NC May 2011 - Nov 2012 1
Suntrust Investment Services,inc Atlanta, GA Dec 2010 - May 2011 < 1
Fintegra, LLC Minneapolis, MN Apr 2002 - Dec 2010 8
Sterling Savings Bank Bend, OR Apr 2002 - Oct 2010 8
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jun 1986
S65 NASAA Investment Advisors Law Examination Oct 1997
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Niki D. Sands
Phone Number: 800-999-2000
Firm Website: https://www.jpmorgan.com
Registered State(s):
  • OR
  • TX
By the Numbers
  • Total Assets Under Management
    70,743
    MILLIONS
  • Total Number of Accounts
    344,720
    ACCOUNTS
  • Average Account Value
    $205,219
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Performance-based fees
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
83

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