Sarah Y. Huang

NEW SPRING FINANCIAL PLANNING

San Ramon, CA

Some features on this profile are disabled

CRD#: 2579978

Professional summary

Sarah Yehsueh Huang, CFP®, who also goes by Sarah Huang, Yehsueh Huang, is a registered financial advisor currently at NEW SPRING FINANCIAL PLANNING, LLC located in San Ramon, California.

Sarah is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Sarah has worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sarah Huang | Yehsueh Huang

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) NEW SPRING FINANCIAL PLANNING; INVESTMENT RELATED; 2415 San Ramon Valley Blvd. Suite 4-358, San Ramon, CA 94583; RIA; IAR/OWNER; START DATE 10/2012; APPROX. 160 HRS/MONTH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sarah Yehsueh Huang's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Experience

Current

November 15, 2012 - Present

NEW SPRING FINANCIAL PLANNING, LLC

RIA

CRD#: 164647

San Ramon, CA

Past

January 5, 2023 - December 31, 2024

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

San Ramon, CA

Past

January 2, 2013 - December 31, 2022

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

SAN RAMON, CA

Past

September 8, 2009 - October 8, 2010

LPL FINANCIAL LLC

RIA

CRD#: 6413

SAN RAMON, CA

Past

September 8, 2009 - December 31, 2012

LPL FINANCIAL LLC

CRD#: 6413

SAN RAMON, CA

Past

April 1, 2009 - January 7, 2013

STRATEGIC WEALTH ADVISORS GROUP

RIA

CRD#: 140977

SAN RAMON, CA

Past

March 3, 2009 - September 8, 2009

ASSOCIATED SECURITIES CORP.

RIA

CRD#: 12969

SAN RAMON, CA

Past

February 27, 2009 - September 8, 2009

ASSOCIATED SECURITIES CORP.

CRD#: 12969

SAN RAMON, CA

Past

February 16, 1999 - March 20, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

PLEASANTON, CA

Past

January 20, 1999 - March 20, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

PLEASANTON, CA

Past

March 7, 1995 - January 20, 1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(11/15/2012)

IAR

Texas
(12/5/2012)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/7/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/17/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 8/5/2008

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 3/6/1995

General Securities Representative Examination

Current Firm

NEW SPRING FINANCIAL PLANNING, LLC

CRD#: 164647 / SEC#:

California

Registered Investment Advisory firm - (11/14/2012 Approved)

Texas

Registered Investment Advisory firm - (12/5/2012 Conditional Restricted)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

San Ramon, CA

Mailing Address

2415 San Ramon Valley Blvd Suite 4-358, San Ramon, CA 94583

Phone number

(925) 327-1010

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	102
AUM (Assets Under Management)	$ 53,762,642

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.

Contact information

xxxxx@xxxx.xxx

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Sarah Y. Huang

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sarah Yehsueh Huang's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

PURSHE KAPLAN STERLING INVESTMENTS

LPL FINANCIAL LLC

LPL FINANCIAL LLC

STRATEGIC WEALTH ADVISORS GROUP

ASSOCIATED SECURITIES CORP.

ASSOCIATED SECURITIES CORP.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 4/7/1995

Series 63

Date: 3/17/1995

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 31

Date: 8/5/2008

Series 7

Date: 3/6/1995

Current Firm

NEW SPRING FINANCIAL PLANNING, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

NEW SPRING FINANCIAL PLANNING, LLC

TRUST BUT VERIFY

Contact information

Similar Advisors