Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sarah? Claim Your ProfileSarah Tarpy is a registered investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc. She has been in the industry since 1997 and has a wide range of experience, having previously worked at BANC OF AMERICA INVESTMENT SERVICES, INC., NORTHERN TRUST SECURITIES, INC., FIRST UNION BROKERAGE SERVICES, INC., and COMPASS BROKERAGE, INC. Sarah is currently licensed to provide investment advice in 27 states.
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
IL
06/15/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CHICAGO IL)
IL
11/04/2002 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (CHICAGO IL)
IL
07/03/2000 - 11/06/2002
NORTHERN TRUST SECURITIES, INC. (CHICAGO IL)
NC
12/21/1996 - 09/20/1999
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
AL
02/20/1996 - 09/06/1996
COMPASS BROKERAGE, INC. (BIRMINGHAM AL)
BOTH
Issued 07/07/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/29/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/16/1996
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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