Sarah A. Wells

TSW WEALTH MANAGEMENT

Framingham, MA 01701

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CRD#: 5351896

Professional summary

Sarah Ann Wells, CFP® is a registered financial advisor currently at TSW WEALTH MANAGEMENT located in Framingham, Massachusetts and PURSHE KAPLAN STERLING INVESTMENTS located in Framingham, Massachusetts.

Sarah is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Sarah has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

1)Wells Financial Advisors, Inc dba TSW Wealth Management; Investment Related; 205 Newbury Street, Suite 201, Framingham, MA 01701; RIA Firm; Principal; 10/2011; 150; 130; Investment Advisor Representative

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sarah Ann Wells'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®

CFP^®

Certified Financial Planner

Start date: 2015

Experience

Current

July 24, 2013 - Present

TSW WEALTH MANAGEMENT

Office #1: 205 Newbury Street Suite 201, Framingham, MA 01701

RIA

CRD#: 125209

Framingham, MA

Current

February 9, 2024 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 205 Newbury Street Suite 201, Framingham, MA 01701

CRD#: 35747

Framingham, MA

Past

July 17, 2013 - July 17, 2013

TSW WEALTH MANAGEMENT

RIA

CRD#: 125209

FRAMINGHAM, MA

Past

May 23, 2012 - February 13, 2024

TRIAD ADVISORS LLC

CRD#: 25803

FRAMINGHAM, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

TSW WEALTH MANAGEMENT

TSW WEALTH MANAGEMENT | WELLS FINANCIAL ADVISORS, INC. | WELLS FINANCIAL ADVISORS

CRD#: 125209 / SEC#: 801-116680

RIA

Registered Investment Advisory firm - (5/24/2019 Approved)

Florida

Registered Investment Advisory firm - (6/11/2019 Terminated)

Massachusetts

Registered Investment Advisory firm - (6/11/2019 Terminated)

Texas

Registered Investment Advisory firm - (6/11/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Arizona
(2/9/2024)

Connecticut
(2/9/2024)

Florida
(2/9/2024)

Maine
(2/9/2024)

Maryland
(2/9/2024)

IAR

Massachusetts
(7/24/2013)

Massachusetts
(2/9/2024)

New Hampshire
(2/9/2024)

New York
(2/9/2024)

Rhode Island
(2/9/2024)

South Carolina
(2/9/2024)

IAR

Texas
(3/14/2019)

Utah
(2/9/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/12/2012

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/22/2012

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

TSW WEALTH MANAGEMENT

TSW WEALTH MANAGEMENT | WELLS FINANCIAL ADVISORS, INC. | WELLS FINANCIAL ADVISORS

CRD#: 125209 / SEC#: 801-116680

RIA

Registered Investment Advisory firm - (5/24/2019 Approved)

Florida

Registered Investment Advisory firm - (6/11/2019 Terminated)

Massachusetts

Registered Investment Advisory firm - (6/11/2019 Terminated)

Texas

Registered Investment Advisory firm - (6/11/2019 Terminated)

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Contact information

Main Address

205 Newbury Street Suite 201, Framingham, MA 01701

Mailing Address

Phone number

(508) 655-9303

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TSW MANAGEMENT ADV PART 2A BROCHURE (3/19/2025)

Regulatory assets under management

Total Number of Accounts	426
AUM (Assets Under Management)	$ 248,586,439

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.

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Advisor Monitoring

Firm Stability Insights

Sarah A. Wells

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sarah Ann Wells's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

TSW WEALTH MANAGEMENT

TRIAD ADVISORS LLC

Primary Firm SEC Registration

TSW WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 7/12/2012

SIE

Date: 10/1/2018

Series 7

Date: 5/22/2012

FINRA

Current Firm

TSW WEALTH MANAGEMENT

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TSW WEALTH MANAGEMENT

TRUST BUT VERIFY

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