Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sara? Claim Your ProfileSara Mills-Gaines is a registered investment advisor representative with Principal Securities, Inc. Sara has been in the industry since 2008 and has experience working with various firms including Wells Fargo Advisors, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Parsonex Securities, Inc. Sara is registered with the state of California and holds the Series 7, Series 66, and SIE licenses. Sara also has a background in insurance and offers fixed life, fixed annuities, DI, LTC, P&C, health, and group benefits through various insurance carriers.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
Seminar fees, solicitors fees, subscription consulting fees
1
2
CA
08/16/2024 - Present
Principal Securities, Inc. (WALNUT CREEK CA)
CA
03/23/2020 - 05/19/2021
PARSONEX SECURITIES, INC. (Orange CA)
CA
05/31/2016 - 04/05/2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SONOMA CA)
CA
01/03/2011 - 06/17/2015
WELLS FARGO ADVISORS, LLC (SANTA ROSA CA)
CA
03/26/2008 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (CORTE MADERA CA)
BOTH
Issued 08/15/2024
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/22/2024
Series 7TO - General Securities Representative Examination
BC
Issued 04/05/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/25/2008
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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