Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sara? Claim Your ProfileSara Reeves is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Sara has been in the financial industry since 2006 and has a diverse background in the field. Sara is registered with the state of North Carolina as both a broker-dealer and an investment advisor representative. In addition to holding the Series 7, 63, and 66 licenses, Sara also holds the Series 24, 26, and 39 licenses.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
NC
01/19/2021 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (Charlotte NC)
NC
01/06/2020 - 01/05/2021
WELLS FARGO SECURITIES, LLC (CHARLOTTE NC)
SC
11/16/2009 - 12/12/2019
LPL FINANCIAL LLC (FORT MILL SC)
NC
03/04/2009 - 10/27/2009
AMERIPRISE FINANCIAL SERVICES, INC. (GREENSBORO NC)
NC
08/21/2007 - 01/29/2009
WACHOVIA CAPITAL MARKETS, LLC (CHARLOTTE NC)
NC
06/26/2006 - 05/10/2007
VANGUARD MARKETING CORPORATION (CHARLOTTE NC)
BOTH
Issued 03/24/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/06/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 01/02/2023
Series 39 - Direct Participation Programs Principal Examination
BC
Issued 01/02/2023
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 02/20/2014
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 82TO - Limited Representative-Private Securities Offerings
BC
Issued 01/02/2023
Series 22TO - Direct Participation Programs Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/19/2009
Series 7 - General Securities Representative Examination
BC
Issued 06/23/2006
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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