Sarah M. Maresch
Professional summary
Sarah Magdalena Maresch, who also goes by Sarah Magdalena Smith, Sarah Magdalena Wortman, is a registered financial professional currently at OSAIC SERVICES, INC. located in Scottsdale, Arizona and OSAIC INSTITUTIONS, INC. located in Meriden, Connecticut.
Sarah is registered as a RR (Registered Representative) and started their career in finance in 2005. Sarah has worked at 12 firms and has passed the Series 63, Series 66, Series 99TO, SIE, Series 3, Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Sarah Magdalena Maresch's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 16, 2025 - Present
OSAIC SERVICES, INC.
Office #1: 18700 Hayden Road Suite 255, Scottsdale, AZ 85255December 16, 2025 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 538 Preston Avenue, Meriden, CT 06450-4858December 16, 2025 - Present
OSAIC WEALTH, INC.
Office #1: 18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255December 16, 2025 - Present
LADENBURG THALMANN & CO. INC.
Office #1: 640 5th Avenue 4th Floor, New York, NY 10019April 30, 2023 - January 9, 2024
LPL ENTERPRISE, LLC
July 14, 2021 - January 9, 2024
LPL FINANCIAL LLC
October 8, 2015 - October 9, 2020
RAYMOND JAMES & ASSOCIATES, INC.
November 5, 2014 - September 22, 2015
STERNE, AGEE & LEACH, INC.
January 18, 2013 - October 29, 2014
BMO CAPITAL MARKETS GKST INC.
July 25, 2012 - October 29, 2014
BMO CAPITAL MARKETS CORP.
July 18, 2011 - July 12, 2012
ADVANTAGE SECURITIES LLC
December 13, 2005 - January 24, 2008
RBC CAPITAL MARKETS, LLC
August 18, 2005 - January 24, 2008
RBC CAPITAL MARKETS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/23/2026)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
NYSE American LLC
NYSE Arca, Inc.
NYSE Texas, Inc.
Nasdaq Stock Market
New York Stock Exchange
Current Firm
LADENBURG THALMANN & CO. INC.
CRD#: 505 / SEC#: , 8-17230
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC HOLDINGS, INC. | OWNER | |
| BLANCATO, PHILIP SALVATORE | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2122221 |
| GIDEON, MICHAEL R | DIRECTOR, CO-PRESIDENT, AND CO-CHIEF EXECUTIVE OFFICER, PRINCIPAL OPERATIONS OFFICER | 5315304 |
| GIOVANNIELLO, JOSEPH | SVP/GENERAL COUNSEL/ASSISTANT SECRETARY | 3086071 |
| MITCHELL, CHRISTOPHER MILLS | TREASURER AND FINANCIAL OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
| SPATOLA, BRIAN MICHAEL | CHIEF COMPLIANCE OFFICER / MSRB PRINCIPAL | 2773548 |
| STEINER, BARRY EVAN | DIRECTOR, CO-PRESIDENT, CO-CHIEF EXECUTIVE OFFICER AND INVESTMENT BANKING SUPERVISOR | 2775629 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 14 |
Red Flags
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