Sarah L. Warner
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 Liang Warner, who also goes by Sarah Warner, was a registered financial professional .
Sarah is a previously registered financial professional and started their career in finance in 2009. Sarah had worked at 3 firms and has passed the Series 63, 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
June 17, 2013 - July 11, 2014
FORTRESS CAPITAL FORMATION LLC
October 14, 2010 - April 10, 2013
J.P. MORGAN SECURITIES LLC
December 7, 2009 - March 29, 2010
JPMORGAN DISTRIBUTION SERVICES, INC.
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
FORTRESS CAPITAL FORMATION LLC
CRD#: 152385 / SEC#: , 8-68449
Contact information
FINRA licenses (53 States and Territories)
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.
