SO
Sara M. Osberg
RUFFER LLC
New York, NY 10022
Some features on this profile are disabled
CRD#: 2965908
SO
Professional summary
Sara Michel Osberg, who also goes by Sara Erin Michel, is a registered financial professional currently at RUFFER LLC located in New York, New York.
Sara is registered as a RR (Registered Representative) and started their career in finance in 2002. Sara has worked at 7 firms and has passed the Series 63, Series 99TO, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Sara Erin Michel
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Sara Michel Osberg'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®
NoneExperience
Current
February 14, 2023 - Present
RUFFER LLC
Office #1: 300 Park Avenue Suite 1710, New York, NY 10022Office #2: 300 Park Avenue Suite 1710, New York, NY 10022BD
CRD#: 322523
New York, NY
Past
June 8, 2021 - March 1, 2023
GALLATIN CAPITAL LLC
BD
CRD#: 124738
NEW YORK, NY
Past
December 11, 2018 - December 31, 2020
ABERDEEN FUND DISTRIBUTORS, LLC
BD
CRD#: 146230
NEW YORK, NY
Past
November 30, 2015 - December 10, 2018
STANDARD LIFE INVESTMENTS SECURITIES LLC
BD
CRD#: 157233
New York, NY
Past
October 26, 2009 - November 3, 2015
GALLATIN CAPITAL LLC
BD
CRD#: 124738
NEW YORK, NY
Past
May 2, 2008 - May 7, 2009
ALTIMA SECURITIES LP
BD
CRD#: 145477
NEW YORK, NY
Past
March 11, 2004 - July 24, 2006
ING INVESTMENT MANAGEMENT SERVICES LLC
BD
CRD#: 21644
NEW YORK, NY
Past
September 23, 2002 - October 9, 2002
EMERALD BAY CAPITAL MANAGEMENT, LLC
BD
CRD#: 120312
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(3/20/2023)
RR
Alaska(5/23/2023)
RR
Arizona(3/16/2023)
RR
Arkansas(6/21/2023)
RR
California(3/15/2023)
RR
Colorado(3/29/2023)
RR
Connecticut(3/1/2023)
RR
Delaware(3/21/2023)
RR
District of Columbia(11/13/2023)
RR
Florida(10/17/2024)
RR
Georgia(4/12/2023)
RR
Hawaii(3/29/2023)
RR
Idaho(3/10/2023)
RR
Illinois(10/6/2023)
RR
Indiana(3/27/2024)
RR
Iowa(3/10/2023)
RR
Kansas(3/20/2023)
RR
Kentucky(3/7/2023)
RR
Louisiana(4/25/2023)
RR
Maine(5/15/2023)
RR
Maryland(3/15/2023)
RR
Massachusetts(5/15/2023)
RR
Michigan(5/31/2023)
RR
Minnesota(4/21/2023)
RR
Mississippi(3/7/2023)
RR
Missouri(8/24/2023)
RR
Montana(4/18/2023)
RR
Nebraska(3/31/2023)
RR
Nevada(3/17/2023)
RR
New Hampshire(7/26/2023)
RR
New Jersey(5/30/2023)
RR
New Mexico(6/20/2023)
RR
New York(3/7/2023)
RR
North Carolina(3/21/2023)
RR
North Dakota(6/22/2023)
RR
Ohio(3/14/2023)
RR
Oklahoma(6/14/2023)
RR
Oregon(3/17/2023)
RR
Pennsylvania(3/14/2023)
RR
Rhode Island(3/7/2023)
RR
South Carolina(5/17/2023)
RR
South Dakota(5/9/2023)
RR
Tennessee(6/27/2023)
RR
Texas(3/24/2023)
RR
Utah(3/3/2023)
RR
Vermont(6/20/2023)
RR
Virginia(5/12/2023)
RR
Washington(5/10/2023)
RR
West Virginia(3/30/2023)
RR
Wisconsin(3/20/2023)
RR
Wyoming(7/10/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 2/14/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
RL
RUFFER LLC
RUFFER LLC | RUFFER NORTH AMERICA LLC
CRD#: 322523 / SEC#: , 8-70952
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
300 Park Avenue Suite 1710, New York, NY 10022
Mailing Address
300 Park Avenue Suite 1710, New York, NY 10022
Phone number
+1 (203) 524-8145
Established
Delaware since 04/01/2022
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RUFFER IH LIMITED | MEMBER | |
| BRANT, DAVID ROBERT | FINOP, POO, PFO | 2718478 |
| GIMPEL, BRUCE PAUL | MEMBER OF BOARD OF DIRECTORS | 2682838 |
| KUTNEY, CHAD WILLIAM | APPOINTED MANAGER, MEMBER BOARD OF DIRECTORS, DIRECTOR - US INSTITUTIONAL | 4229844 |
| MEIGH, ALEXANDER DONALD | CCO AND AMLCO | 6758162 |
| MOUNTAIN, SIMON OLIVER | MEMBER OF BOARD OF DIRECTORS | 7770385 |
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.
