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Sarah E. Erp

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CRD#: 5413025
SE

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 Elizabeth Erp was a registered financial professional .

Sarah is a previously registered financial professional and started their career in finance in 2007. Sarah had worked at 3 firms and has passed the Series 66 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 9, 2012 - August 13, 2012

SWBC INVESTMENT SERVICES, LLC

BD
CRD#: 133715
AUSTIN, TX
Past

July 7, 2008 - January 11, 2012

NYLIFE SECURITIES LLC

BD
CRD#: 5167
AUSTIN, TX
Past

November 12, 2007 - April 28, 2008

WADDELL & REED

RIA
CRD#: 866
AUSTIN, TX
Past

October 25, 2007 - April 28, 2008

WADDELL & REED

BD
CRD#: 866
AUSTIN, TX

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/9/2007
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/24/2007
General Securities Representative Examination

Current Firm

SI
SWBC INVESTMENT SERVICES, LLC
SWBC INVESTMENT SERVICES, LLC | SWBC WEALTH MANAGEMENT

CRD#: 133715 / SEC#: , 8-66764

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
9311 San Pedro, Ste 600, San Antonio, TX 78216
Mailing Address
9311 San Pedro, Ste 600, San Antonio, TX 78216
Phone number
(800) 527-0066
Established
Texas since 08/02/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (49 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SOUTHWEST BUSINESS CORPORATIONMEMBER
IRETA, ALEJANDRO GCHIEF OPERATING OFFICER5752503
RYKERT, DONALD SCOTTCEO/CCO2128744
SMITH, RYAN CHARLESDIRECTOR OF FINANCE - FINOP7015114

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.

Company Information

SWBC INVESTMENT SERVICES, LLC

CRD#: 133715

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