Sarah E. Darrouzet
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 Elaine Darrouzet, who also goes by Sarah E Darrouzet, Sarah E Zubiate, Sarah Elaine Zubiate, was a registered financial professional .
Sarah is a previously registered financial professional and started their career in finance in 2006. Sarah had worked at 5 firms and has passed the Series 66, Series 63 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
April 6, 2012 - February 1, 2013
RAFFERTY CAPITAL MARKETS, LLC
November 2, 2011 - February 1, 2013
TRINITY INVESTMENT MANAGEMENT, LLC
August 8, 2008 - November 2, 2011
CHARLES SCHWAB & CO., INC.
August 8, 2008 - November 2, 2011
CHARLES SCHWAB & CO., INC.
November 9, 2007 - June 4, 2008
STRATEGIC ADVISERS LLC
October 27, 2006 - June 4, 2008
FIDELITY BROKERAGE 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
RAFFERTY CAPITAL MARKETS, LLC
CRD#: 23682 / SEC#: , 8-40605
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAFFERTY HOLDINGS, LLC | DIRECT OWNER | |
| HAY, KATHLEEN RAFFERTY | PRESIDENT | 5045127 |
| GOODE, JACQUELINE MARIE | FINOP | 1292607 |
| GOODE, JACQUELINE MARIE | PRINCIPAL FINANCIAL OFFICER | 1292607 |
| JAMES, SHARI | CFO | 7516372 |
| MARTENS, BARBARA LAUDISI | PRINCIPAL OPERATIONS OFFICER | 2992393 |
| MARTENS, BARBARA LAUDISI | CHIEF COMPLIANCE OFFICER | 2992393 |
Disclosures
| Regulatory Event | 6 |
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.
