Sarah J. Dahmen
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 Junette Dahmen, who also goes by Sarah Junette Dahmen, Sarah Junette Lebahn, Sarah Junette Miller, Sarah Junette Miller, was a registered financial professional .
Sarah is a previously registered financial professional and started their career in finance in 2006. Sarah had worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 15, 2013 - April 1, 2019
NORTHERN CAPITAL RETIREMENT SERVICES, INC.
June 5, 2006 - April 1, 2019
NORTHERN CAPITAL MANAGEMENT, INC.
February 8, 2006 - February 8, 2016
NCM SECURITIES, INC.
Primary Firm SEC Registration
NORTHERN CAPITAL RETIREMENT SERVICES, INC.
CRD#: 163327 / SEC#: 801-77836
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
NORTHERN CAPITAL RETIREMENT SERVICES, INC.
CRD#: 163327 / SEC#: 801-77836
Contact information
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 22 |
| AUM (Assets Under Management) | $ 263,189,636 |
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.
