Sara Franko
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.
Sara Franko, who also goes by Sara Jane Franko, Sara Jane Pippel, was a registered financial professional .
Sara is a previously registered financial professional and started their career in finance in 2004. Sara had worked at 6 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 3, 2011 - April 17, 2012
AMG DISTRIBUTORS, INC.
August 8, 2007 - June 27, 2008
NEUBERGER BERMAN BD LLC
August 8, 2007 - June 27, 2008
NEUBERGER BERMAN BD LLC
April 24, 2006 - August 15, 2007
LEHMAN BROTHERS INC.
April 24, 2006 - August 15, 2007
LEHMAN BROTHERS INC.
March 2, 2005 - February 25, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 2, 2005 - February 25, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 23, 2004 - January 11, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
February 6, 2004 - January 11, 2005
IDS LIFE INSURANCE COMPANY
February 6, 2004 - January 11, 2005
AMERIPRISE FINANCIAL SERVICES, 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
Exams
Current Firm
AMG DISTRIBUTORS, INC.
CRD#: 27314 / SEC#: , 8-43057
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMG FUNDS LLC | SOLE SHAREHOLDER | 153456 |
| GALIS, AARON | DIRECTOR | 7333959 |
| HOPKINS, THOMAS JOHN | PRINCIPAL FINANCIAL OFFICER; PRINCIPAL OPERATIONS OFFICER AND FINOP | 1835087 |
| JACOBS ANTONACCIO, RACHEL ELIZABETH | HEAD OF CLIENT SOLUTIONS AND PRINCIPAL | 3189490 |
| KINNE, KEITHA LEE | PRESIDENT, PRINCIPAL AND CHIEF OPERATING OFFICER | 2039630 |
| SPELLMAN, PATRICK JOSEPH | CHIEF COMPLIANCE OFFICER | 3086822 |
Disclosures
| Regulatory Event | 2 |
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.
