Sara S. Morgan
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 Suzanne Morgan, who also goes by Sara Suzanne Kolker, was a registered financial professional .
Sara is a previously registered financial professional and started their career in finance in 1986. Sara had worked at 5 firms and has passed the Series 65, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 11, 2020 - March 15, 2022
ASSET STRATEGY CONSULTANTS LLC
October 31, 2000 - May 23, 2001
RUMSON CAPITAL, LLC
June 14, 1999 - October 12, 2000
DEUTSCHE BANK SECURITIES INC.
September 1, 1997 - June 14, 1999
DB ALEX. BROWN LLC
March 21, 1986 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
Primary Firm SEC Registration
ASSET STRATEGY CONSULTANTS LLC
CRD#: 110800 / SEC#: 801-55215
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 55
Date: 4/23/1999
Limited Representative-Equity Trader ExamCurrent Firm
ASSET STRATEGY CONSULTANTS LLC
CRD#: 110800 / SEC#: 801-55215
Contact information
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 72 |
| AUM (Assets Under Management) | $ 5,174,881,147 |
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.
