Elizabeth T. Sauer

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CRD#: 3094736

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.

Elizabeth Tremaine Sauer was a registered financial professional .

Elizabeth is a previously registered financial professional and started their career in finance in 2000. Elizabeth had worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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. A&E LLC. RICHMOND, VA 23220. NOT INVESTMENT RELATED. BUSINESS - RUNS MA&E LLP. TITLE - MANAGER. START DATE - 01/01/1999. 1HR/MONTH. DUTIES - SECRETARY/TREASURER.

Blog Corner

CRS (Client Relationship Summary)

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/30/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/29/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/11/2000

General Securities Representative Examination

Current Firm

WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC

WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC | WST CAPITAL MANAGEMENT

CRD#: 106060 / SEC#: 802-132198

RIA

Registered Investment Advisory firm - (12/12/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

150 West Main Street Ste 1700, Norfolk, VA 23510

Mailing Address

Phone number

(757) 623-3676

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WSTAM FORM ADV PART 2A (5/1/2024)

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/28/2023	Cover Page	Report
12/02/2022	Cover Page	Report

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
SEC	ERA - Active	2/14/2025

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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Elizabeth T. Sauer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC

ARMSTRONG INVESTMENTS, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

WELLS FARGO CLEARING SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/30/2000

Series 63

Date: 11/29/2000

Series 7

Date: 4/11/2000

Current Firm

WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC

Contact information

Documents

Part 2 Brochures

Accountant surprise examination report

Exempt reporting advisers

Red Flags

Company Information

WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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