Sara M. Osberg
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 Michel Osberg, who also goes by Sara Erin Michel, was a registered financial professional .
Sara is a previously registered financial professional and started their career in finance in 2002. Sara had worked at 7 firms and has passed the Series 63, Series 99TO, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 14, 2023 - November 19, 2025
RUFFER LLC
June 8, 2021 - March 1, 2023
GALLATIN CAPITAL LLC
December 11, 2018 - December 31, 2020
ABERDEEN FUND DISTRIBUTORS, LLC
November 30, 2015 - December 10, 2018
STANDARD LIFE INVESTMENTS SECURITIES LLC
October 26, 2009 - November 3, 2015
GALLATIN CAPITAL LLC
May 2, 2008 - May 7, 2009
ALTIMA SECURITIES LP
March 11, 2004 - July 24, 2006
ING INVESTMENT MANAGEMENT SERVICES LLC
September 23, 2002 - October 9, 2002
EMERALD BAY CAPITAL MANAGEMENT, LLC
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
Series 99TO
Date: 2/14/2023
Operations Professional ExaminationCurrent Firm
RUFFER LLC
CRD#: 322523 / SEC#: , 8-70952
Contact information
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.
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