Sarah R. Bonam
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 R. Bonam, who also goes by Sarah R Bonam, Sarah Ruth Bonam, Sarah Bonam, Sarah Ruth Cowlbeck, Sarah Ruth Levin, was a registered financial professional .
Sarah is a previously registered financial professional and started their career in finance in 2003. Sarah had worked at 7 firms and has passed the Series 66, Series 63, Series 99TO, Series 3, SIE, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 6, 2021 - September 9, 2024
RAYMOND JAMES & ASSOCIATES, INC.
January 29, 2019 - May 28, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 28, 2019 - May 28, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 26, 2012 - July 11, 2018
J.P. MORGAN SECURITIES LLC
October 11, 2012 - July 11, 2018
J.P. MORGAN SECURITIES LLC
March 22, 2010 - January 11, 2012
CHASE INVESTMENT SERVICES CORP.
June 25, 2008 - September 22, 2009
LPL FINANCIAL LLC
June 21, 2006 - August 14, 2007
LPL FINANCIAL LLC
August 26, 2004 - February 24, 2006
IDS LIFE INSURANCE COMPANY
August 26, 2004 - February 24, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
January 27, 2003 - July 16, 2004
IDS LIFE INSURANCE COMPANY
January 27, 2003 - July 16, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
