Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sarah? Claim Your ProfileSarah Liston is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. located in SAN FRANCISCO, CA. Sarah has been in the industry since August 2008. Sarah holds the Series 66, Series 7 and SIE licenses and is registered in California, Texas and several other states as a broker and an investment advisor. Before joining Merrill Lynch, Pierce, Fenner & Smith Inc., Sarah worked at UBS Financial Services Inc. Sarah has a broad range of experience in providing financial advice to individuals, corporations, pension plans, insurance companies, and charitable organizations. Sarah's primary focus is providing investment advisory services including portfolio management and financial planning. Sarah also offers a variety of other services including educational seminars, performance measurement reports, allocation modeling, and research reports.
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
CA
01/31/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SAN FRANCISCO CA)
CA
08/04/2008 - 01/19/2023
UBS FINANCIAL SERVICES INC. (SAN FRANCISCO CA)
BOTH
Issued 02/17/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/01/2008
Series 7 - General Securities 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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