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SD

Sarah B. Diorio

WATERWAY CAPITAL LLC
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 5458810
SD

Professional summary

Sarah Burnham Woolley Diorio, who also goes by Sarah Burnham Woolley, Sarah Woolley, is a registered financial professional currently at WATERWAY CAPITAL LLC located in Chicago, Illinois.

Sarah is registered as a RR (Registered Representative) and started their career in finance in 2008. Sarah has worked at 2 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sarah Burnham Woolley | Sarah Woolley

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) - BD

Click below to view Sarah Burnham Woolley Diorio'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®
None

Experience

Current

April 27, 2018 - Present

WATERWAY CAPITAL LLC

Office #1: 150 N. Wacker Dr. Suite 1340, Chicago, IL 60606
BD
CRD#: 128212
Chicago, IL
Past

September 13, 2010 - April 20, 2018

WILLIAM BLAIR

BD
CRD#: 1252
CHICAGO, IL
Past

February 28, 2008 - December 12, 2008

WILLIAM BLAIR

BD
CRD#: 1252
CHICAGO, IL

State Registrations and Notice Filings

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

RR
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

RR
Illinois
(4/27/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 6/23/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 7/11/2011
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 2/27/2008
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

WC
WATERWAY CAPITAL LLC
BOSTONIA GLOBAL SECURITIES, LLC | WATERWAY CAPITAL LLC

CRD#: 128212 / SEC#: , 8-66108

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

Main Address
699 Boylston Street Eighth Floor, Boston, MA 02116
Mailing Address
699 Boylston Street Eighth Floor, Boston, MA 02116
Phone number
(617) 226-8100
Established
Massachusetts since 04/25/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (13 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#
WATERWAY PARTNERS LLCOWNER
HOPKINS, THOMAS JOHNFINOP, POO, & PFO1835087
SARGENT, THOMAS ALLINGPRESIDENT/CEO1111329
WARD, ANA FORTESCCO3274959

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

WATERWAY CAPITAL LLC

CRD#: 128212Chicago, IL 60606

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