Sara J. Swadley
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.
Sara Joe Swadley, who also goes by Sara Joe Jaggars, Sara Swadley, was a registered financial professional .
Sara is a previously registered financial professional and started their career in finance in 2008. Sara had worked at 4 firms and has passed the Series 65 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 29, 2016 - April 26, 2018
MARINER WEALTH ADVISORS
April 29, 2016 - March 22, 2021
MARINER WEALTH
October 15, 2014 - July 3, 2018
MARINER RETIREMENT ADVISORS, LLC
July 2, 2008 - June 8, 2012
M&I INVESTMENT MANAGEMENT CORP.
State Registrations and Notice Filings
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Current Firm
MARINER WEALTH ADVISORS
CRD#: 174099 / SEC#: 801-80790
Contact information
Documents
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.
