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SG

Sarah E. Gallagher

FACET
Canton, GA
Some features on this profile are disabled
CRD#: 4421833
SG

Professional summary

Sarah E Gallagher, CFP®, who also goes by Sarah E. Gallagher, Sarah E. Jones, is a registered financial advisor currently at FACET located in Canton, Georgia.

Sarah is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Sarah has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Sarah E. Gallagher | Sarah E. Jones

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) - RIA

Click below to view Sarah E Gallagher'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®
CFP®

Certified Financial Planner

Start date: 2006

Experience

Current

June 22, 2022 - Present

FACET

RIA
CRD#: 285961
Canton, GA
Past

March 5, 2015 - July 8, 2015

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
ATLANTA, GA
Past

February 27, 2015 - July 8, 2015

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
ATLANTA, GA
Past

June 19, 2012 - December 23, 2013

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
ATLANTA, GA
Past

June 15, 2012 - December 23, 2013

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
ATLANTA, GA
Past

June 1, 2009 - July 13, 2012

MORGAN STANLEY

RIA
CRD#: 149777
ALPHARETTA, GA
Past

June 1, 2009 - July 13, 2012

MORGAN STANLEY

BD
CRD#: 149777
ALPHARETTA, GA
Past

May 23, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
ALPHARETTA, GA
Past

May 23, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
ALPHARETTA, GA
Past

September 17, 2003 - June 12, 2008

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
ALPHARETTA, GA
Past

February 21, 2003 - June 12, 2008

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
ALPHARETTA, GA
Past

August 16, 2001 - February 12, 2003

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC

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".
FA
FACET
FABRIC WEALTH | ONEK FINANCIAL, INC. | FACET WEALTH, INC, | FACET WEALTH, INC | FACET WEALTH | FACET

CRD#: 285961 / SEC#: 801-108767

RIA
Registered Investment Advisory firm - (12/15/2016 Approved)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Georgia
(6/30/2022)
IAR
Texas
(6/22/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/16/2003
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/27/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/8/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 4/13/2006
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 8/13/2001
General Securities Representative Examination

Current Firm

FA
FACET
FABRIC WEALTH | ONEK FINANCIAL, INC. | FACET WEALTH, INC, | FACET WEALTH, INC | FACET WEALTH | FACET

CRD#: 285961 / SEC#: 801-108767

RIA
Registered Investment Advisory firm - (12/15/2016 Approved)
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Contact information

Main Address
400 East Pratt Street 8th Floor, Baltimore, MD 21202
Mailing Address
Phone number
(443) 376-6222
Established
Firm type
Fiscal year end
# of Employees
174

SEC notice filing (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2A (10/1/2025)

Regulatory assets under management

Total Number of Accounts36,817
AUM (Assets Under Management)$ 4,754,146,771

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
04/29/2025
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.

Company Information

FACET

CRD#: 285961Canton, GA

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