Sara C. King
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 C King, who also goes by Sara Catherine King, Sara C Mcgrady, Sara Catherine Mcgrady, Sara Catherine Mcgrady, was a registered financial professional .
Sara is a previously registered financial professional and started their career in finance in 1999. Sara had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 23, 2019 - September 7, 2021
CALLAN CAPITAL, LLC
November 6, 2017 - August 9, 2018
RAYMOND JAMES & ASSOCIATES, INC.
October 26, 2017 - August 9, 2018
RAYMOND JAMES & ASSOCIATES, INC.
August 24, 2015 - March 3, 2016
SWBC INVESTMENT COMPANY
August 24, 2015 - March 3, 2016
SWBC INVESTMENT SERVICES, LLC
January 12, 2011 - August 13, 2015
MORGAN STANLEY
June 1, 2009 - August 13, 2015
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
July 1, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
October 19, 2001 - January 11, 2005
AMERIPRISE ADVISOR SERVICES, INC.
May 7, 1999 - May 18, 2000
TEJAS SECURITIES GROUP, INC.
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
CALLAN CAPITAL, LLC
CRD#: 142527 / SEC#: 801-67379
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,386 |
| AUM (Assets Under Management) | $ 2,330,302,048 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/13/2025 | ||
| 03/13/2024 | ||
| 04/19/2023 |
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.
