Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sara? Claim Your ProfileSara O'Brien is a financial advisor with Stifel, Nicolaus & Company, Inc. She has been in the industry since 2008 and has experience with various financial institutions including Merrill Lynch, Pierce, Fenner & Smith Incorporated, CETERA ADVISOR NETWORKS LLC, and VOYA FINANCIAL ADVISORS, INC.. Sara holds Series 6, 7, 63, and 65 licenses and has a broad range of financial planning and investment management experience.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
IA
05/21/2024 - Present
Stifel, Nicolaus & Company, Inc. (WEST DES MOINES IA)
IA
04/26/2022 - 05/23/2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (WEST DES MOINES IA)
CA
06/09/2021 - 08/25/2021
CETERA ADVISOR NETWORKS LLC (EL SEGUNDO CA)
IA
01/05/2021 - 06/09/2021
VOYA FINANCIAL ADVISORS, INC. (DES MOINES IA)
AZ
10/12/2018 - 08/11/2020
GENEOS WEALTH MANAGEMENT, INC. (PRESCOTT AZ)
AZ
10/26/2017 - 10/18/2018
J.P. MORGAN SECURITIES LLC (PRESCOTT AZ)
KS
09/20/2011 - 10/02/2017
CETERA INVESTMENT SERVICES LLC (TOPEKA KS)
KS
10/12/2007 - 09/21/2011
UVEST FINANCIAL SERVICES GROUP, INC. (TOPEKA KS)
IA
Issued 04/29/2022
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/04/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/20/2016
Series 7 - General Securities Representative Examination
BC
Issued 10/11/2007
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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