Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Trisha? Claim Your ProfileTrisha Sauer is a financial advisor with over 20 years of experience in the financial services industry. Trisha holds the Series 3, 7, 9, 10, 63 and 65 licenses and the SIE exam. Trisha is currently registered with LPL Financial LLC and has previously worked with Merrill Lynch, Pierce, Fenner & Smith Incorporated, RBC Capital Markets, LLC, RBC Dain Rauscher Inc., and Salomon Smith Barney Inc.. Trisha Sauer specializes in providing financial advice and services to a wide range of clients including high-net-worth individuals, corporations, and pension and profit-sharing plans. Trisha can help clients with a variety of financial planning needs, including retirement planning, investment management, insurance, and estate planning.
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.
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.
Consulting and other non-discretionary advisory services
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
CT
03/12/2021 - Present
LPL Financial LLC (GLASTONBURY CT)
CT
01/24/2014 - 10/12/2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (GLASTONBURY CT)
CT
02/15/2008 - 02/14/2014
RBC CAPITAL MARKETS, LLC (HARTFORD CT)
CT
03/28/2002 - 01/11/2008
RBC DAIN RAUSCHER INC. (HARTFORD CT)
NY
11/30/2000 - 02/11/2002
SALOMON SMITH BARNEY INC. (NEW YORK NY)
IA
Issued 12/06/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/04/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/29/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/24/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/13/2005
Series 3 - National Commodity Futures Examination
BC
Issued 11/29/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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