Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sarah? Claim Your ProfileSarah A. Bates is a financial advisor with LPL Financial LLC based in Phoenix, AZ. Sarah has been in the financial services industry since 2011. She has a Series 6 and Series 63 license and the SIE designation. Sarah has previously worked with PNC INVESTMENTS and BBVA Securities Inc. Sarah has a wide range of experience serving a variety of clients, including individuals, corporations, charitable organizations, and pension and profit-sharing plans.
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.
Consulting and other non-discretionary advisory services
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.
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AZ
10/22/2021 - Present
LPL Financial LLC (PHOENIX AZ)
AZ
08/23/2021 - 10/29/2021
PNC INVESTMENTS (GILBERT AZ)
AZ
05/16/2013 - 08/23/2021
BBVA SECURITIES INC. (GILBERT AZ)
AZ
07/18/2011 - 05/16/2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC (TUCSON AZ)
BC
Issued 10/10/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/15/2011
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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