Sara A. Hamrick
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 Ann Hamrick, who also goes by Sara Hamrick, Sara Ann Osborn, Sara Osborn, Sara Ann Stewart, Sara Stewart, was a registered financial professional .
Sara is a previously registered financial professional and started their career in finance in 2000. Sara had worked at 2 firms and has passed the Series 11 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 22, 2004 - December 31, 2016
MONTECITO ADVISORS, INC.
November 20, 2000 - January 2, 2004
INVESTMENT AFFILIATE, 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
Series 11
Date: 11/17/2000
Assistant Representative-Order Processing Qualification ExamCurrent Firm
MONTECITO ADVISORS, INC.
CRD#: 104004 / SEC#: , 8-52471
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GENADRY, ELIE MICHEL | CHAIRMAN OF THE BOARD, LTD PRINCIPAL | 721443 |
| BANERJEE, DEBASISH ("NMN") | CO-FINOP | 1555979 |
| KAPERNEKAS, ATHANASIOS G | TRADE RISK MANAGER | 4183213 |
| WOLF, ALEXANDER VICTOR | CFO, CO-FINOP | 2155490 |
| WOLF, ALEXANDER VICTOR | GSP | 2155490 |
| ZOPP, MELANIE ALANE | CHIEF COMPLIANCE OFFICER, GSP | 4671608 |
| ZOPP, MELANIE ALANE | CEO | 4671608 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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