Sarah M. Mears
Professional summary
Sarah Mary Mears, who also goes by Sarah Mary Gould, Sarah Mears, is a registered financial professional currently at VANGUARD MARKETING CORPORATION located in Malvern, Pennsylvania.
Sarah is registered as a RR (Registered Representative) and started their career in finance in 1998. Sarah has worked at 5 firms and has passed the Series 63, Series 66, Series 6TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Sarah Mary Mears's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 12, 2019 - Present
VANGUARD MARKETING CORPORATION
Office #1: 100 Vanguard Blvd, Malvern, PA 19355January 3, 2006 - July 28, 2011
FORESIDE FUND SERVICES, LLC
October 5, 2001 - December 31, 2005
CONSTELLATION INVESTMENT DISTRIBUTION COMPANY INC.
November 30, 1999 - June 12, 2001
CHARLES SCHWAB & CO., INC.
November 20, 1998 - October 18, 1999
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/22/2019)
Exams
Series 6TO
Date: 2/12/2019
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
VANGUARD MARKETING CORPORATION
CRD#: 7452 / SEC#: , 8-21570
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VANGUARD GROUP, INC. | PARENT COMPANY | |
| BENCHENER, MATTHEW JOHN | CHAIRMAN, PRESIDENT, DIRECTOR, CEO-DESIGNEE | 5569805 |
| BENDL, JOHN WESLEY | DIRECTOR, SENIOR VICE PRESIDENT | 6931980 |
| BISORDI, JOHN | DIRECTOR, VICE PRESIDENT, GENERAL COUNSEL | 7526828 |
| BOATENG, AMMA ACHEAMPOMAA | DIRECTOR, SENIOR VICE PRESIDENT | 4677078 |
| BRANCATO, MATTHEW CLARK | DIRECTOR, VICE PRESIDENT | 6220380 |
| JAMES, JOHN MARK | DIRECTOR, SENIOR VICE PRESIDENT | 5594356 |
| PANTALONE, SALVATORE L JR | PRINCIPAL FINANCIAL OFFICER | 2887373 |
| PETTY, DAVID | VICE PRESIDENT | 5684895 |
| STEWART, MARC CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2688699 |
| TRETTER, MATTHEW ANTHONY | PRINCIPAL OPERATIONS OFFICER | 5956530 |
Disclosures
| Regulatory Event | 47 |
| Arbitration | 8 |
Red Flags
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