Sara J. Lalande
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 Jean Lalande, who also goes by Sara Jean Anderson, Sara Jean Lalande-anderson, Sara Jean Lalande, Sara Lalande, was a registered financial professional .
Sara is a previously registered financial professional and started their career in finance in 2000. Sara had worked at 9 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2019 - May 11, 2020
INTERNATIONAL ASSETS ADVISORY, LLC
April 30, 2019 - May 11, 2020
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC
March 26, 2019 - April 8, 2019
LEVEL FOUR FINANCIAL, LLC
March 26, 2019 - April 8, 2019
LEVEL FOUR FINANCIAL, LLC
April 8, 2013 - February 26, 2019
EDWARD JONES
April 5, 2013 - February 26, 2019
EDWARD JONES
April 11, 2012 - April 5, 2013
JHS CAPITAL ADVISORS, LLC
April 11, 2012 - April 5, 2013
JHS CAPITAL ADVISORS, LLC
April 30, 2009 - April 11, 2012
PAULSON INVESTMENT COMPANY LLC
April 30, 2009 - April 11, 2012
PAULSON INVESTMENT COMPANY LLC
August 12, 2006 - May 13, 2009
UBS FINANCIAL SERVICES INC.
August 12, 2006 - May 13, 2009
UBS FINANCIAL SERVICES INC.
September 13, 2004 - August 12, 2006
PIPER SANDLER & CO.
August 26, 2004 - August 12, 2006
PIPER SANDLER & CO.
August 31, 2000 - April 1, 2003
EDWARD JONES
March 28, 2000 - August 23, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
INTERNATIONAL ASSETS ADVISORY, LLC
CRD#: 10645 / SEC#: 801-119029, 8-27736
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 7TO
Date: 3/17/2024
General Securities Representative ExaminationCurrent Firm
INTERNATIONAL ASSETS ADVISORY, LLC
CRD#: 10645 / SEC#: 801-119029, 8-27736
Contact information
SEC notice filing (1 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PECUNIA MANAGEMENT, LLC | OWNER | |
| COFRANCESCO, EDWARD RICHARD | CEO | 2305035 |
| LAMPMAN, MATTHEW EDWARD | PRESIDENT/CHIEF OPERATING OFFICER | 6132493 |
| MOORE, ANN KATHERINE | CHIEF BUSINESS DEVELOPMENT OFFICER | 5535928 |
| NICHOLSON, MYRA PEARLE | CHIEF LEGAL OFFICER, CHIEF RISK OFFICER | 2740029 |
| WEINBERGER, DAVID S | REGISTERED OPTIONS PRINCIPAL / CHIEF FINANCIAL OFFICER / CHIEF REGULATORY OFFICER | 2676116 |
| WEISS, RICHARD JAY | CHIEF COMPLIANCE OFFICER, CHIEF AML CCO | 2523174 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
