Carl A. Sanger

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CRD#: 4042035

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.

Carl Anthony Sanger was a registered financial professional .

Carl is a previously registered financial professional and started their career in finance in 1999. Carl had worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 55 and Series 7 exams.

Biography

A financial planner since 2001, I strive every day to help my clients achieve financial success, even through the many unique ups and downs they experience over time. It’s always enormously fulfilling to see them work hard to reach their retirement goals. I love finance and learning, so it’s natural I love listening to finance-related podcasts.

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) INSURANCE SERVICES OFFERED THROUGH EDELMAN FINANCIAL SERVICES, LLC AND EF LEGACY SECURITIES, LLC POSITION: Agent NATURE: Agent for various insurance companies INVESTMENT RELATED: Yes NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 15 START DATE: 04/22/2016 ADDRESS: 4000 Legato Road, 9th Floor, Fairfax VA 22033 DESCRIPTION: Insurance services offered to clients of Edelman Financial Services, LLC and EF Legacy Securities, LLC.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Education

Hofstra University

Experience

Past

October 12, 2018 - March 27, 2024

EDELMAN FINANCIAL ENGINES

RIA

CRD#: 104510

UNIONDALE, NY

Past

April 22, 2016 - October 31, 2018

RETIREONE INVESTMENT SERVICES, LLC

CRD#: 269923

Uniondale, NY

Past

August 11, 2009 - November 1, 2018

EDELMAN FINANCIAL SERVICES, LLC

RIA

CRD#: 113299

UNIONDALE, NY

Past

August 11, 2009 - April 22, 2016

SANDERS MORRIS LLC

CRD#: 20580

Uniondale, NY

Past

January 4, 2008 - July 15, 2009

HSBC SECURITIES (USA) INC.

RIA

CRD#: 19585

COMMACK, NY

Past

January 4, 2008 - July 15, 2009

HSBC SECURITIES (USA) INC.

CRD#: 19585

COMMACK, NY

Past

January 20, 2005 - December 14, 2007

TD AMERITRADE, INC.

RIA

CRD#: 7870

GREAT NECK, NY

Past

June 24, 2004 - December 14, 2007

TD AMERITRADE, INC.

CRD#: 7870

GREAT NECK, NY

Past

October 2, 2003 - July 15, 2004

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

September 10, 2003 - October 7, 2003

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

SCHAUMBURG, IL

Past

February 10, 2000 - April 11, 2002

SCHONFELD SECURITIES, LLC

CRD#: 23304

JERICHO, NY

Past

December 7, 1999 - February 8, 2000

J.P.R. CAPITAL CORP.

CRD#: 38056

SYOSSET, NY

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".

EDELMAN FINANCIAL ENGINES

EDELMAN FINANCIAL ENGINES | FINANCIAL ENGINES ADVISORS LLC | FINANCIAL ENGINES ADVISORS L.L.C.

CRD#: 104510 / SEC#: 801-55196

RIA

Registered Investment Advisory firm - (1/14/1998 Approved)

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.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/16/2004

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 11/5/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/24/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 8/30/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 12/3/1999

General Securities Representative Examination

Current Firm

EDELMAN FINANCIAL ENGINES

EDELMAN FINANCIAL ENGINES | FINANCIAL ENGINES ADVISORS LLC | FINANCIAL ENGINES ADVISORS L.L.C.

CRD#: 104510 / SEC#: 801-55196

RIA

Registered Investment Advisory firm - (1/14/1998 Approved)

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Contact information

Main Address

3945 Freedom Circle, Santa Clara, CA 95054

Mailing Address

Phone number

(800) 601-5957

Established

Firm type

Fiscal year end

# of Employees

1,616

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EFE_ADV_PART_2A_03.31.2025 (3/31/2025)

EFE_WRAP_FEE_BROCHURE_03.31.2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,552,934
AUM (Assets Under Management)	$ 292,902,969,770

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.

Contact information

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Advisor Monitoring

Firm Stability Insights

Carl A. Sanger

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Education

Hofstra University

Experience

RETIREONE INVESTMENT SERVICES, LLC

EDELMAN FINANCIAL SERVICES, LLC

SANDERS MORRIS LLC

HSBC SECURITIES (USA) INC.

HSBC SECURITIES (USA) INC.

TD AMERITRADE, INC.

TD AMERITRADE, INC.

OSAIC WEALTH, INC.

CETERA FINANCIAL SPECIALISTS LLC

SCHONFELD SECURITIES, LLC

J.P.R. CAPITAL CORP.

Primary Firm SEC Registration

EDELMAN FINANCIAL ENGINES

State Registrations and Notice Filings

Exams

Series 66

Date: 12/16/2004

Series 65

Date: 11/5/2001

Series 63

Date: 1/24/2000

SIE

Date: 10/1/2018

Series 55

Date: 8/30/2000

Series 7

Date: 12/3/1999

Current Firm

EDELMAN FINANCIAL ENGINES

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EDELMAN FINANCIAL ENGINES

TRUST BUT VERIFY

Contact information

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