Sara A. Paulson
Professional summary
Sara Anne Paulson, who also goes by Sara Paulson, Sara Anne Sweet, Sara Sweet, is a registered financial advisor currently at ASSETMARK, INC. located in Dayton, Minnesota and ASSETMARK BROKERAGE, LLC located in Dayton , Minnesota.
Sara is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Sara has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Sara Anne Paulson's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 25, 2015 - Present
ASSETMARK, INC.
September 25, 2015 - Present
ASSETMARK BROKERAGE, LLC
October 14, 2010 - September 16, 2015
CURIAN CAPITAL, LLC
October 14, 2010 - September 16, 2015
CURIAN CLEARING, LLC
September 21, 2007 - December 3, 2008
RUSSELL INVESTMENTS
February 16, 2001 - December 3, 2008
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
February 18, 1992 - February 23, 2001
ROBERT W. BAIRD & CO. INCORPORATED
March 26, 1991 - March 19, 1992
WELLS FARGO CLEARING SERVICES, LLC
January 28, 1991 - June 19, 1992
GLOBAL CAPITAL SECURITIES, INC.
June 27, 1988 - January 15, 1991
DEUTSCHE BANK CAPITAL CORPORATION
November 25, 1987 - June 8, 1988
NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.
Primary Firm SEC Registration
ASSETMARK, INC.
CRD#: 109018 / SEC#: 801-56323
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/4/2024)
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(9/25/2015)
(1/4/2024)
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(1/3/2018)
(7/7/2022)
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(9/25/2015)
(1/5/2024)
(1/4/2024)
(9/25/2015)
(1/4/2024)
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(9/25/2015)
(1/4/2024)
Exams
FINRA
Current Firm
ASSETMARK, INC.
CRD#: 109018 / SEC#: 801-56323
Contact information
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 410,749 |
| AUM (Assets Under Management) | $ 77,412,781,198 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/29/2025 | ||
| 12/19/2024 | ||
| 08/23/2024 | ||
| 12/06/2023 |
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.
