Sarah M. Maresch

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CRD#: 4342314

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.

Sarah Magdalena Maresch, who also goes by Sarah Magdalena Smith, Sarah Magdalena Wortman, was a registered financial professional .

Sarah is a previously registered financial professional and started their career in finance in 2005. Sarah had worked at 8 firms and has passed the Series 66, Series 99TO, SIE, Series 3, Series 7 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Sarah Magdalena Smith | Sarah Magdalena Wortman

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)

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

Experience

Past

April 30, 2023 - January 9, 2024

LPL ENTERPRISE, LLC

CRD#: 8733

FORT MILL, SC

Past

July 14, 2021 - January 9, 2024

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

October 8, 2015 - October 9, 2020

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

SOUTHFIELD, MI

Past

November 5, 2014 - September 22, 2015

STERNE, AGEE & LEACH, INC.

CRD#: 791

BIRMINGHAM, AL

Past

January 18, 2013 - October 29, 2014

BMO CAPITAL MARKETS GKST INC.

CRD#: 8352

MINNEAPOLIS, MN

Past

July 25, 2012 - October 29, 2014

BMO CAPITAL MARKETS CORP.

CRD#: 16686

CHICAGO, IL

Past

July 18, 2011 - July 12, 2012

ADVANTAGE SECURITIES LLC

CRD#: 39362

CHICAGO, IL

Past

December 13, 2005 - January 24, 2008

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

WASHINGTON, DC

Past

August 18, 2005 - January 24, 2008

RBC CAPITAL MARKETS, LLC

CRD#: 31194

WASHINGTON, DC

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".

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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: 12/10/2005

Uniform Combined State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 5/23/2011

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 8/17/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 7/19/2013

Financial and Operations Principal Examination

Current Firm

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

1055 Lpl Way, Fort Mill, SC 29715

Mailing Address

1055 Lpl Way, Fort Mill, SC 29715

Phone number

(704) 733-3300

Established

Delaware since 05/25/2023

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

4,650

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

A58 LPLE (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
LPL HOLDINGS, INC.	MANAGING MEMBER
HORAN-ADAMS, KIRBY LEPAK	CHIEF EXECUTIVE OFFICER. PRESIDENT	5097259
MALFITANO, STEVEN THOMAS	PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP	3178848
MORRISON, STEVEN PHILIP	SECRETARY	4529345
SHEEHAN, RICHARD STEVEN	SVP, CHIEF COMPLIANCE OFFICER	3096567

Regulatory assets under management

Total Number of Accounts	114,002
AUM (Assets Under Management)	$ 18,862,098,900

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/25/2025	Cover Page	Report

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.

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Firm Stability Insights

Sarah M. Maresch

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

RAYMOND JAMES & ASSOCIATES, INC.

STERNE, AGEE & LEACH, INC.

BMO CAPITAL MARKETS GKST INC.

BMO CAPITAL MARKETS CORP.

ADVANTAGE SECURITIES LLC

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/10/2005

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 5/23/2011

Series 7

Date: 8/17/2005

Series 27

Date: 7/19/2013

Current Firm

LPL ENTERPRISE, LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

LPL ENTERPRISE, LLC

TRUST BUT VERIFY

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