Sara J. Andres

SHAREBUILDER 401K

Spearfish, SD

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CRD#: 2985300

Professional summary

Sara Jane Andres, who also goes by Sara J Andres, Sara Marcy, is a registered financial advisor currently at SHAREBUILDER 401K located in Spearfish, South Dakota and SEQUENCE FINANCIAL SPECIALISTS LLC located in Florence, South Carolina.

Sara is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Sara has worked at 15 firms and has passed the Series 65, Series 63, Series 57TO, Series 52TO, SIE, Series 55, Series 7, Series 14, Series 53, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sara J Andres | Sara Marcy

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) Antestari LLC - Yes, investment releated - 3761 Beartooth Loop, Spearfish, SD 57783 - Risk & compliance consulitng / expert witness - President - 08/2018 - 100hrs/mo - 90hrs/mo during trading hrs - Provide consulation, advice & materials to B/Ds & RIAs regarding management, risk & compliance matters. Serve as expert witness

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sara Jane Andres's CRS (Customer Relationship Summary).

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®

None

Experience

Current

January 16, 2020 - Present

SHAREBUILDER 401K

RIA

CRD#: 300537

Spearfish, SD

Current

June 4, 2024 - Present

SEQUENCE FINANCIAL SPECIALISTS LLC

Office #1: 181 E. Evans St Suite C1, Btc-001, Florence, SC 29506

CRD#: 132915

Florence, SC

Current

June 13, 2024 - Present

BOSONIC SECURITIES

Office #1: 3761 W Beartooth Loop, Spearfish, SD 57783

CRD#: 317012

SPEARFISH, SD

Past

March 16, 2022 - June 16, 2022

DEALMAKER SECURITIES

CRD#: 315324

MELVILLE, NY

Past

May 4, 2020 - February 4, 2022

D. BORAL CAPITAL

CRD#: 103792

NEW YORK, NY

Past

June 29, 2017 - July 20, 2018

M HOLDINGS SECURITIES, INC.

RIA

CRD#: 43285

PORTLAND, OR

Past

June 19, 2017 - July 20, 2018

M HOLDINGS SECURITIES, INC.

CRD#: 43285

PORTLAND, OR

Past

June 19, 2017 - July 21, 2018

M FINANCIAL SECURITIES MARKETING, INC.

CRD#: 139304

PORTLAND, OR

Past

September 5, 2013 - February 3, 2016

CAPITAL ONE ADVISORS, LLC

RIA

CRD#: 136865

SEATTLE, WA

Past

September 4, 2013 - February 3, 2016

CAPITAL ONE INVESTING, LLC

CRD#: 45744

SEATTLE, WA

Past

July 20, 2012 - July 31, 2013

AMERITAS INVESTMENT COMPANY, LLC

RIA

CRD#: 14869

LINCOLN, NE

Past

May 10, 2012 - July 31, 2013

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

LINCOLN, NE

Past

April 8, 2010 - April 17, 2012

TD AMERITRADE, INC.

RIA

CRD#: 7870

BELLEVUE, NE

Past

June 26, 2009 - May 27, 2010

BELLEVUE CHICAGO, LLC

CRD#: 106069

CHICAGO, IL

Past

April 19, 2006 - April 17, 2012

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

March 26, 2003 - April 17, 2012

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

BELLEVUE, NE

Past

January 3, 2002 - April 17, 2012

TD AMERITRADE CLEARING, INC.

CRD#: 5633

OMAHA, NE

Past

May 29, 1998 - December 31, 2001

J.P. SECURITIES, INC.

CRD#: 36559

BELLEVUE, NE

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SHAREBUILDER 401K

SHAREBUILDER 401K | SHAREBUILDER ADVISORS, LLC

CRD#: 300537 / SEC#: 801-115195

RIA

Registered Investment Advisory firm - (5/3/2019 Approved)

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.

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

California
(6/13/2024)

Florida
(6/4/2024)

Illinois
(12/9/2024)

South Carolina
(6/4/2024)

IAR

South Dakota
(1/16/2020)

IAR

Washington
(3/4/2021)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/12/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/24/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 7/21/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 6/8/2004

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 4/22/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 6/4/2024

Compliance Officer Examination

Principal/Supervisory Exam

Series 53

Date: 1/12/2024

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 1/12/2024

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 2/3/2000

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

SHAREBUILDER 401K

SHAREBUILDER 401K | SHAREBUILDER ADVISORS, LLC

CRD#: 300537 / SEC#: 801-115195

RIA

Registered Investment Advisory firm - (5/3/2019 Approved)

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Contact information

Main Address

801 Second Ave Suite 1400, Seattle, WA 98104

Mailing Address

801 Second Ave Suite 1400, Seattle, WA 98104

Phone number

(425) 213-9035

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SBA ADVII 2025 (6/3/2025)

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.

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Advisor Monitoring

Firm Stability Insights

Sara J. Andres

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sara Jane Andres's CRS (Customer Relationship Summary).

Certified licenses

Experience

SEQUENCE FINANCIAL SPECIALISTS LLC

BOSONIC SECURITIES

DEALMAKER SECURITIES

D. BORAL CAPITAL

M HOLDINGS SECURITIES, INC.

M HOLDINGS SECURITIES, INC.

M FINANCIAL SECURITIES MARKETING, INC.

CAPITAL ONE ADVISORS, LLC

CAPITAL ONE INVESTING, LLC

AMERITAS INVESTMENT COMPANY, LLC

AMERITAS INVESTMENT COMPANY, LLC

TD AMERITRADE, INC.

BELLEVUE CHICAGO, LLC

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE CLEARING, INC.

J.P. SECURITIES, INC.

Primary Firm SEC Registration

SHAREBUILDER 401K

State Registrations and Notice Filings

Exams

Series 65

Date: 12/12/2002

Series 63

Date: 4/24/1998

Series 57TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

SIE

Date: 7/21/2018

Series 55

Date: 6/8/2004

Series 7

Date: 4/22/1998

Series 14

Date: 6/4/2024

Series 53

Date: 1/12/2024

Series 4

Date: 1/12/2024

Series 24

Date: 2/3/2000

FINRA

Current Firm

SHAREBUILDER 401K

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

SHAREBUILDER 401K

TRUST BUT VERIFY

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