SF
Sarah Frenczak
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CRD#: 4581697
SF
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 Frenczak, who also goes by Sarah Frenczak-lee, Sarah Lee, was a registered financial professional .
Sarah is a previously registered financial professional and started their career in finance in 2002. Sarah had worked at 6 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Sarah Frenczak-Lee | Sarah Lee
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.
Sales of insurance products and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc. Coach Me Media / 0919-Present / Investment Related: No / 2 Embarcadero Center, 8th floor San Francisco, CA 94111 / Owner-Talent / My husband owns a small entity called KerryLee.Media Through Coach Me Media -I want to start interviewing business owners and coaches and prominent people that I run into and posting the interviews or working with a woman's charity that I helped build called GWEN GLOBAL. GWEN GLOBAL might publish my interviews. I would like to have my own brand when I produce them. Hrs Work Monthly: 8/ / Sec Trading Hrs: 0 / Producing Podcast or LIVE TV or Video Interviews. Including writing questions. Editing, music etc. Think and Grow Rich Tour and Program / 0919-Present / Investment-Related Business: No / San Francisco, CA 94111 / Affiliate / Financial Education Business / Hrs Work Monthly: 1/ Sec Trading Hrs: 0/ Helping people get to the event. Possible Helping at the event or speaking through my coaching brand but we do not have that worked out yet. No day to day responsibilities at all. Coach Me Academy / 0919-Present / Investment-Related Business: No / 2 Embarcadero Center 8th Floor San Francisco, CA 94111 / Partner, Owner or Coach/ Coaching and coaching classes - no related to investments Mindsets, sales, digital marketing ticket sales, goal setting, hypnotherapy, Events, Business planning, filling in seats / Hrs Work Monthly: 40 / Sec Trading Hrs: 1 / Getting clients, prospecting, working on websites, as well as counseling clients - doing hypnotherapy - healing - mindset etc. ANTHEM BLUE CROSS; NOT INVESTMENT-RELATED; 4 EMBARCADERO CENTER ROAD, STE 1400, SAN FRANCISCO CA 94111; THEY SELL HEALTH COVERAGE AND SOME TRAVEL INSURANCE FOR HEALTH COVERAGE; SALES PERSON; 10/2013; 4 HRS/MONTH; SELLING HEALTH INSURANCE ELITE BENEFITS / emp dates: 0319 TO PRESENT/ INVESTMENT RELATED: NO /address: 2750 POLK ST #5 SAN FRANCISCO, CA 94109/ position: INTRODUCE TO SALES REP/ nature of business: WORKPLACE BENEFITS- PROTECTION AGAINST IDENTITY THEFT, DISCOUNTS, DISCUNTS ON TRAVEL, TELE MEDICINE / hrs work monthly: 10/Sec trading hrs: 0/ duties: JUST TO INTRODUCE THE SALES REP FOR ELITE BENEFITS TO CONTACTS THAT MIGHT BE INTERESTED
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®
NoneExperience
Past
April 24, 2012 - May 30, 2025
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
San Mateo, CA
Past
April 16, 2012 - May 30, 2025
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
San Mateo, CA
Past
February 13, 2009 - December 20, 2011
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
SAN FRANCISCO, CA
Past
October 20, 2004 - August 17, 2007
EMERSON EQUITY LLC
RIA
CRD#: 130032
SAN MATEO, CA
Past
October 20, 2004 - August 17, 2007
EMERSON EQUITY LLC
BD
CRD#: 130032
SAN MATEO, CA
Past
June 4, 2003 - September 30, 2004
OSAIC FA, INC.
RIA
CRD#: 3978
SAN RAMON, CA
Past
June 4, 2003 - September 30, 2004
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
June 4, 2003 - September 30, 2004
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
December 6, 2002 - March 5, 2003
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
SAN FRANCISCO, CA
Past
December 5, 2002 - March 5, 2003
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
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".
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
Two Liberty Place 50 South 16th Street, Suite 3700, Philadelphia, PA 19102
Mailing Address
6400 C St Sw, Cedar Rapids, IA 52499-0001
Phone number
(727) 299-1800
Established
Delaware since 12/28/1984
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,054
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
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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.
