Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sarah? Claim Your ProfileSarah Erin Carter Torres is a registered representative associated with Wells Fargo Clearing Services, LLC, and has been in the financial services industry since November 6, 2019. She has been registered with Wells Fargo Clearing Services, LLC since July 29, 2020. Sarah Erin Carter Torres is licensed to provide investment advice in California and is registered as an Investment Advisor Representative (IAR). She has passed the Series 66, Series 10, Series 9, Series 7TO and SIE exams. Sarah Erin Carter Torres has previous experience in the financial services industry with Wells Fargo Clearing Services, LLC, in Stockton, California, starting in June 2006.
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.
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.
Investment consulting services to institutional clients
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
CA
07/29/2020 - Present
Wells Fargo Clearing Services, LLC (STOCKTON CA)
BOTH
Issued 07/28/2020
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/30/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/14/2022
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/07/2019
Series 7TO - General Securities Representative Examination
BC
Issued 07/12/2019
SIE - Securities Industry Essentials Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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