Sara Jean M. Veatch

OAKWORTH ASSET MANAGEMENT

Charlotte, NC 28210-3254

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CRD#: 5408258

Professional summary

Sara Jean Mildred Veatch, CFP®, who also goes by Sara Veatch, is a registered financial advisor currently at OAKWORTH ASSET MANAGEMENT, LLC located in Charlotte, North Carolina.

Sara Jean is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Sara Jean has worked at 5 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sara Veatch

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.

Oakworth Capital Bank; Investment Related; At Reported Business Location; Bank; Client Advisor; 01/2024; 160 hours/month, 160 hours/month during securities trading hours; Client Advisor.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sara Jean Mildred Veatch'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

Experience

Current

July 3, 2025 - Present

OAKWORTH ASSET MANAGEMENT, LLC

Office #1: 6000 Fairview Road Suite 500, Charlotte, NC 28210-3254

RIA

CRD#: 335388

Charlotte, NC

Past

December 7, 2017 - July 2, 2020

TRUIST ADVISORY SERVICES, INC.

RIA

CRD#: 283390

CHARLOTTE, NC

Past

November 28, 2017 - July 1, 2020

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

ATLANTA, GA

Past

August 10, 2015 - October 20, 2017

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

CHARLOTTE, NC

Past

August 10, 2015 - October 20, 2017

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

CHARLOTTE, NC

Past

August 17, 2009 - August 4, 2015

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

CHARLOTTE, NC

Past

June 25, 2009 - August 4, 2015

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

CHARLOTTE, NC

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.

Highlighted states indicate IAR registrations

IAR

North Carolina
(7/3/2025)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/14/2009

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/25/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/24/2009

General Securities Representative Examination

Current Firm

OAKWORTH ASSET MANAGEMENT, LLC

CRD#: 335388 / SEC#: 801-132789

RIA

Registered Investment Advisory firm - (7/1/2025 120-Day Approval)

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Contact information

Main Address

850 Shades Creek Parkway Suite 200, Birmingham, AL 35209

Mailing Address

Phone number

(205) 263-4700

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE FOR OAKWORTH ASSET MANAGEMENT, LLC (10/29/2025)

Regulatory assets under management

Total Number of Accounts	678
AUM (Assets Under Management)	$ 757,410,003

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

Sara Jean M. Veatch

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sara Jean Mildred Veatch's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRUIST ADVISORY SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/14/2009

Series 7TO

Date: 3/25/2024

SIE

Date: 10/1/2018

Series 7

Date: 6/24/2009

Current Firm

OAKWORTH ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

OAKWORTH ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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