Sara C. Pierce
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Sara Chance Pierce, CFP®, CLU®, who also goes by Skeeter Pierce, Sara Skeeter, was a registered financial professional .
Sara is a previously registered financial professional and started their career in finance in 1983. Sara had worked at 11 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 31, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1991
Experience
July 10, 2025 - March 3, 2026
LPL FINANCIAL LLC
July 10, 2025 - March 3, 2026
LPL FINANCIAL LLC
June 4, 2020 - July 10, 2025
CADARET, GRANT & CO., INC.
May 20, 2020 - July 10, 2025
CADARET, GRANT & CO., INC.
September 9, 2013 - May 26, 2020
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
August 8, 2013 - May 26, 2020
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 13, 2013 - August 8, 2013
RAYMOND JAMES & ASSOCIATES, INC.
February 13, 2013 - August 8, 2013
RAYMOND JAMES & ASSOCIATES, INC.
December 13, 2004 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
December 13, 2004 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
January 29, 2004 - December 31, 2004
WEALTH MANAGEMENT ASSOCIATES, LLC
April 14, 2003 - December 16, 2004
LPL FINANCIAL LLC
June 1, 2000 - December 16, 2004
LPL FINANCIAL LLC
February 14, 2000 - May 31, 2000
SECURITIES SERVICE NETWORK, LLC
June 7, 1989 - February 3, 2000
LPL FINANCIAL LLC
April 13, 1987 - June 15, 1989
PRUDENTIAL EQUITY GROUP, LLC
September 24, 1984 - April 15, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 8, 1983 - July 26, 1984
PFS INVESTMENTS INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 214 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
