Sara Mongerson
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 Mongerson, who also goes by Sara Elizabeth Eichholz, Sara Eichholz Mongerson, Sara Elizabeth Mongerson, Sara Eichholz Winyard, was a registered financial professional .
Sara is a previously registered financial professional and started their career in finance in 1992. Sara had worked at 7 firms and has passed the Series 65, Series 63, SIE 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
December 5, 2019 - October 5, 2021
SMITH GROUP ASSET MANAGEMENT
January 29, 2015 - April 2, 2018
HANSEATIC MANAGEMENT SERVICES INC
April 9, 2012 - January 28, 2015
PENSERRA SECURITIES, LLC
February 16, 2012 - March 25, 2016
DE LUNA PARTNERS, INC.
December 2, 2003 - September 3, 2010
SMITH GROUP ASSET MANAGEMENT
May 17, 2000 - December 17, 2001
COLUMBIA FINANCIAL CENTER INCORPORATED
September 27, 1995 - May 4, 2000
NEW ENGLAND SECURITIES
August 19, 1992 - May 31, 1995
INVESCO CAPITAL MARKETS, INC.
Primary Firm SEC Registration
SMITH GROUP ASSET MANAGEMENT
CRD#: 106301 / SEC#: 801-50835
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
Current Firm
SMITH GROUP ASSET MANAGEMENT
CRD#: 106301 / SEC#: 801-50835
Contact information
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2 |
| AUM (Assets Under Management) | $ 133,705,130 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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