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Sarah Michelle Gaucin

ADP Broker-Dealer, Inc.

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About Sarah Michelle Gaucin

Sarah Michelle Gaucin is a registered representative with ADP Broker-Dealer, Inc. Sarah is registered with the state of Texas and 51 other states. Sarah has passed the Series 63, Series 6TO and SIE exams. Sarah joined ADP Broker-Dealer, Inc. on 3/6/2020.

Firm Information

Sarah Gaucin is currently registered with ADP Broker-Dealer, Inc.. ADP Broker-Dealer, Inc. is a corporation formed in July 1994. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia, Virgin Islands, and Puerto Rico.

Not reported

Assets Under Management

Not reported

Total Clients

755

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Sarah Gaucin’s Registration & Firm History

TX

03/06/2020 - Present

ADP Broker-Dealer, Inc. (El Paso TX)

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Licenses & Designations

BC

Issued 01/21/2020

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/06/2020

Series 6TO - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 02/06/2020

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Sarah Michelle Gaucin.
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