Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sarah? Claim Your ProfileSarah Westbrook is a registered investment advisor representative in North Carolina. She has been in the financial services industry since 2006 and is a principal at Captrust. Sarah Westbrook has experience in portfolio management, financial planning, and pension consulting. She has held various roles at different firms over the years, including positions at Watchdog Capital, LLC, Zermatt Securities, Inc., and Founders Financial Securities LLC. Sarah Westbrook has a diverse background in the financial services industry and is well-equipped to provide her clients with comprehensive financial advice.
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.
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.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
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NC
01/29/2020 - Present
Captrust (RALEIGH NC)
NC
01/31/2020 - 12/31/2021
WATCHDOG CAPITAL, LLC (Charlotte NC)
NC
08/30/2019 - 02/07/2020
ZERMATT SECURITIES, INC. (Charlotte NC)
NC
09/24/2014 - 12/31/2018
CAPFINANCIAL SECURITIES, LLC. (CHARLOTTE NC)
NC
01/16/2014 - 12/31/2017
FOUNDERS FINANCIAL SECURITIES LLC (CHARLOTTE NC)
FL
03/25/2013 - 02/24/2014
HARBOR LIGHT SECURITIES, LLC (TAMPA FL)
NC
01/03/2012 - 01/29/2014
SHERMAN & COMPANY LLC (CHARLOTTE NC)
SC
10/17/2013 - 01/23/2014
FINTRUST BROKERAGE SERVICES, LLC (GREENVILLE SC)
IL
01/03/2012 - 10/29/2013
ADVANTAGE SECURITIES LLC (CHICAGO IL)
DE
01/06/2012 - 10/17/2013
COASTAL EQUITIES, INC. (WILMINGTON DE)
GA
07/09/2012 - 07/01/2013
1ST WORLDWIDE FINANCIAL PARTNERS, LLC (CUMMING GA)
TX
11/08/2011 - 11/16/2012
RIVERSTONE WEALTH MANAGEMENT, INC. (AUSTIN TX)
NC
08/31/2011 - 08/14/2012
CAROLINAS INVESTMENT CONSULTING LLC (CHARLOTTE NC)
NC
04/04/2012 - 06/29/2012
CERTUSSECURITIES, INC. (CHARLOTTE NC)
SC
09/02/2010 - 11/04/2010
1792 SECURITIES, LLC (GREENVILLE SC)
NC
11/10/2008 - 12/03/2009
AMERICAN SECURITIES GROUP, INC. (CHARLOTTE NC)
NC
11/07/2007 - 11/03/2008
UVEST FINANCIAL SERVICES GROUP, INC. (CHARLOTTE NC)
NC
09/11/2006 - 11/01/2007
TRIUNE CAPITAL ADVISORS LLC (CHARLOTTE NC)
FL
05/26/2004 - 09/08/2006
NEWPORT GROUP SECURITIES, INC. (HEATHROW FL)
BC
Issued 05/21/2004
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 10/05/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/01/2024
Series 14 - Compliance Officer Examination
BC
Issued 10/26/2011
Series 28 - Introducing Broker/Dealer Financial Operations Principal Examination
BC
Issued 01/03/2007
Series 53 - Municipal Securities Principal Examination
BC
Issued 12/05/2006
Series 4 - Registered Options Principal Examination
BC
Issued 11/13/2006
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 62 - Corporate Securities Limited Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/12/2009
Series 3 - National Commodity Futures Examination
BC
Issued 10/09/2006
Series 7 - General Securities Representative Examination
BC
Issued 05/14/2004
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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