Sarah Metsa
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.
Sarah Metsa, who also goes by Sarah C Metsa, Sarah C. Metsa, was a registered financial professional .
Sarah is a previously registered financial professional and started their career in finance in 1997. Sarah had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 6, Series 24, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 5, 2018 - September 18, 2019
LPL FINANCIAL LLC
September 5, 2018 - September 18, 2019
LPL FINANCIAL LLC
November 20, 2015 - October 14, 2016
UBS FINANCIAL SERVICES INC.
November 20, 2015 - October 14, 2016
UBS FINANCIAL SERVICES INC.
January 22, 2015 - November 24, 2015
MORGAN STANLEY
January 22, 2015 - November 24, 2015
MORGAN STANLEY
November 3, 2014 - January 15, 2015
PNC MANAGED ACCOUNT SOLUTIONS, INC.
August 22, 2013 - January 15, 2015
BBVA SECURITIES INC.
August 1, 2007 - July 11, 2013
AMEGY INVESTMENTS, INC.
August 1, 2007 - July 11, 2013
AMEGY INVESTMENTS, INC.
March 13, 2006 - August 6, 2007
CITIGROUP GLOBAL MARKETS INC.
March 1, 2006 - August 6, 2007
CITIGROUP GLOBAL MARKETS INC.
June 24, 1999 - March 6, 2006
MORGAN STANLEY DW INC.
June 24, 1999 - March 6, 2006
MORGAN STANLEY DW INC.
August 7, 1997 - March 10, 1999
INVESCO CAPITAL MARKETS, INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
