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SL

Sarah B. Lewis

WELLINGTON FUNDS DISTRIBUTORS
SAN FRANCISCO, CA 94111
Some features on this profile are disabled
CRD#: 4827566
SL

Professional summary

Sarah Bess Lewis, who also goes by Sarah Lewis, is a registered financial professional currently at WELLINGTON FUNDS DISTRIBUTORS INC. located in San Francisco, California.

Sarah is registered as a RR (Registered Representative) and started their career in finance in 2004. Sarah has worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 86 and Series 87 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sarah Lewis

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) - BD

Click below to view Sarah Bess Lewis'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®
None

Experience

Current

July 24, 2017 - Present

WELLINGTON FUNDS DISTRIBUTORS INC.

Office #1: Four Embarcadero Center Suite 3120, San Francisco, CA 94111
BD
CRD#: 152768
SAN FRANCISCO, CA
Past

March 1, 2016 - June 23, 2017

NUVEEN SECURITIES, LLC

BD
CRD#: 469
CHICAGO, IL
Past

June 22, 2009 - March 12, 2010

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
SAN FRANCISCO, CA
Past

September 24, 2004 - April 14, 2008

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(7/24/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 5/16/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/1/2016
General Securities Representative Examination
General Industry/Product Exam
RR
Series 86
Date: 10/20/2004
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 87
Date: 10/7/2004
Research Analyst Exam - Part II Regulations Module
SRO Registrations
RR
FINRA

Current Firm

WF
WELLINGTON FUNDS DISTRIBUTORS INC.
WELLINGTON FUNDS DISTRIBUTORS INC. | WELLINGTON MANAGEMENT ADVISERS, INC

CRD#: 152768 / SEC#: , 8-68476

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
280 Congress Street, Boston, MA 02210
Mailing Address
280 Congress Street, Boston, MA 02210
Phone number
(617) 951-5000
Established
Delaware since 10/29/2009
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
WELLINGTON MANAGEMENT FUNDS HOLDINGS LLPHOLDING COMPANY
COYNE, LAURA ANN ESQ.DIRECTOR7053320
GEORGE, JEFFREY BRIANDIRECTOR8180600
HAVLICEK, DESMOND ANTHONYDIRECTOR2843267
MACKENZIE, BRENDAN MICHAELDIRECTOR5051963
MARTIN, SARA ANNCHIEF LEGAL OFFICER7469775
MILLEN, SARAH MACKTEZCHIEF FINANCIAL OFFICER7116565
SHANNON, MARY KEHOEDIRECTOR6439388
SHANNON, MARY KEHOEPRESIDENT6439388
WILLIAMS, ASHLEY LEIGHCHIEF COMPLIANCE OFFICER5498874

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

WELLINGTON FUNDS DISTRIBUTORS INC.

CRD#: 152768San Francisco, CA 94111

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