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SP

Sarah A. Pfeiffer

MSEC
Brentwood, MO 63144
Some features on this profile are disabled
CRD#: 4202873
SP

Professional summary

Sarah Arlene Pfeiffer, who also goes by Sarah A Ducote, is a registered financial professional currently at MSEC, LLC located in Brentwood, Missouri.

Sarah is registered as a RR (Registered Representative) and started their career in finance in 2002. Sarah has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sarah A Ducote

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sarah Arlene Pfeiffer's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Experience

Current

June 15, 2015 - Present

MSEC, LLC

Office #1: 1401 S. Brentwood Blvd. Suite 300, Brentwood, MO 63144
BD
CRD#: 154327
Brentwood, MO
Past

January 8, 2010 - June 12, 2015

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
CLAYTON, MO
Past

January 1, 2008 - January 19, 2010

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
DES PERES, MO
Past

October 21, 2002 - January 3, 2008

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
DES PERES, MO

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Missouri
(6/15/2015)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/30/2002
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/18/2002
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

ML
MSEC, LLC
MARINER | MSEC, LLC | MONTAGE SECURITIES, LLC | MARINER WEALTH ADVISORS | MARINER WEALTH

CRD#: 154327 / SEC#: , 8-68627

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
5700 W 112th Street Suite 500, Overland Park, KS 66211
Mailing Address
5700 W 112th Street Suite 500, Overland Park, KS 66211
Phone number
(913) 904-5700
Established
Delaware since 05/13/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MARINER WEALTH ADVISORS, LLCMEMBER
DORIAN, ANNE JENELLEPRESIDENT5736231
ERSKINE, ANN TERESACHIEF COMPLIANCE OFFICER5071135
STEIGHNER, KAREN ANNPFO/POO/FINOP1100675

Disclosures

Regulatory Event1

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.

Company Information

MSEC, LLC

CRD#: 154327Brentwood, MO 63144

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