Sarah B. Reed
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 Beth Reed, who also goes by Beth Pricoli, Sarah B Pricoli, Sarah Reed Pricoli, Sarah Beth Proechel, Sarah B Reed, Sarah Beth Reed, Sarah Reed, Beth Reed, was a registered financial professional .
Sarah is a previously registered financial professional and started their career in finance in 2010. Sarah had worked at 6 firms and has passed the Series 63, SIE, Series 87, Series 86, Series 79 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
September 1, 2021 - May 26, 2022
TRUIST SECURITIES, INC.
March 6, 2018 - August 10, 2021
RBC CAPITAL MARKETS, LLC
August 1, 2014 - February 26, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 3, 2012 - June 16, 2014
COWEN EXECUTION SERVICES LLC
January 21, 2011 - November 26, 2012
EZE CASTLE TRANSACTION SERVICES LLC
November 9, 2010 - January 21, 2011
G-TRADE SERVICES LLC
May 19, 2010 - November 19, 2010
COWEN EXECUTION 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
TRUIST SECURITIES, INC.
CRD#: 6271 / SEC#: , 8-17212
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRUIST FINANCIAL CORPORATION | PARENT COMPANY | |
| COLEMAN, SHELLEY BRENNAN | AML OFFICER | 3163295 |
| FARRELL, KATHLEEN ANNE | BOARD MEMBER | 4038178 |
| HACKETT, THOMAS PATRICK | CHAIRMAN OF THE BOARD & CHIEF EXECUTIVE OFFICER | 2878035 |
| HUFFSTETLER, MARK | BOARD MEMBER AND CHIEF CREDIT OFFICER | 2830214 |
| HUMPHREYS, ADAM | SECRETARY AND CHIEF LEGAL OFFICER | 7866934 |
| JESSANI, KERRY | BOARD MEMBER | 5048754 |
| MILLIGAN, JOHN | PRINCIPAL OPERATIONS OFFICER | 3206391 |
| MORRIS, DONALD ROSS JR | CHIEF FINANCIAL OFFICER | 3231801 |
| PAPPAS, ALBERT GEORGE | CHIEF COMPLIANCE OFFICER | 1875535 |
Disclosures
| Regulatory Event | 22 |
| Arbitration | 1 |
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.
