Sara L. Long
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 Lynne Long, who also goes by Sally Andrews, Sara Lynne Andrews, Sally Long, was a registered financial professional .
Sara is a previously registered financial professional and started their career in finance in 2009. 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
July 16, 2014 - January 28, 2019
MODERA WEALTH MANAGEMENT, LLC
August 1, 2011 - July 23, 2014
JCM ADVISORS OF CRYSTAL RIVER, LLC
June 2, 2011 - August 17, 2011
JOSEPH FINANCIAL OF SMITHTOWN, LLC
March 6, 2009 - July 23, 2014
JOSEPH CAPITAL MANAGEMENT, LLC
Primary Firm SEC Registration
MODERA WEALTH MANAGEMENT, LLC
CRD#: 155649 / SEC#: 801-71973
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Current Firm
MODERA WEALTH MANAGEMENT, LLC
CRD#: 155649 / SEC#: 801-71973
Contact information
SEC notice filing (43 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 20,833 |
| AUM (Assets Under Management) | $ 15,510,482,152 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/20/2024 | ||
| 01/26/2024 | ||
| 01/25/2023 |
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.
