Zachary T. Sooter

SAGE ADVISORY SERVICES LTD CO

CHICIAGO, IL

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CRD#: 5662539

Professional summary

Zachary Thomas Sooter, CFP®, who also goes by Zachary Sooter, is a registered financial advisor currently at SAGE ADVISORY SERVICES LTD CO located in Chiciago, Illinois.

Zachary is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Zachary has worked at 4 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Zachary Sooter

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) - RIA

Click below to view Zachary Thomas Sooter'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

September 15, 2011 - Present

SAGE ADVISORY SERVICES LTD CO

RIA

CRD#: 106236

CHICIAGO, IL

Past

January 19, 2011 - June 27, 2011

ASSETMARK, INC.

RIA

CRD#: 109018

CONCORD, CA

Past

November 17, 2010 - June 27, 2011

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

May 1, 2009 - October 22, 2010

BMO HARRIS FINANCIAL ADVISORS, INC.

CRD#: 137115

CHICAGO, IL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SAGE ADVISORY SERVICES LTD CO

CRD#: 106236 / SEC#: 801-52937

RIA

Registered Investment Advisory firm - (9/24/1996 Approved)

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

Illinois
(10/5/2017)

IAR

Texas
(9/15/2011)

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 65

Date: 1/18/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/28/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 4/30/2009

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SAGE ADVISORY SERVICES LTD CO

CRD#: 106236 / SEC#: 801-52937

RIA

Registered Investment Advisory firm - (9/24/1996 Approved)

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Contact information

Main Address

5900 Southwest Parkway Building 1, Suite 100, Austin, TX 78735-6202

Mailing Address

Phone number

(512) 327-5530

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SAGE ADVISORY SERVICES LTD. CO. (3/28/2025)

Regulatory assets under management

Total Number of Accounts	12,206
AUM (Assets Under Management)	$ 24,975,056,606

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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Zachary T. Sooter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Zachary Thomas Sooter's CRS (Customer Relationship Summary).

Certified licenses

Experience

SAGE ADVISORY SERVICES LTD CO

ASSETMARK, INC.

CAPITAL BROKERAGE CORPORATION

BMO HARRIS FINANCIAL ADVISORS, INC.

Primary Firm SEC Registration

SAGE ADVISORY SERVICES LTD CO

State Registrations and Notice Filings

Exams

Series 65

Date: 1/18/2011

Series 63

Date: 5/28/2009

Series 6

Date: 4/30/2009

Current Firm

SAGE ADVISORY SERVICES LTD CO

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SAGE ADVISORY SERVICES LTD CO

TRUST BUT VERIFY

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