Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sarah? Claim Your ProfileSarah Settle is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Inc. Sarah has been in the securities industry since 2010. Sarah holds Series 63, 66, and 7 licenses. She specializes in investment advisory services for individual investors, businesses, and pension plans. Sarah has experience working with clients who are looking for financial planning, portfolio management, and other investment-related services. Sarah Settle is a Registered Representative and Investment Advisor Representative of Merrill Lynch, Pierce, Fenner & Smith Incorporated, a registered broker-dealer, registered investment adviser, Member SIPC and a wholly owned subsidiary of Bank of America Corporation.
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
11/14/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEWPORT BEACH CA)
CA
10/25/2021 - 11/14/2022
CHARLES SCHWAB & CO., INC. (Upland CA)
CA
08/21/2018 - 10/18/2021
FIDELITY BROKERAGE SERVICES LLC (BREA CA)
CA
11/10/2014 - 07/23/2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (WEST COVINA CA)
CA
12/16/2009 - 10/20/2014
SCOTTRADE, INC. (LA HABRA CA)
BOTH
Issued 12/28/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/28/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/15/2009
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
Not sure Sarah Settle is the right advisor for you? Invested Better is here to help.
