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SG

Sarah Guibert

TRANSAMERICA FINANCIAL ADVISORS
Minneapolis, MN
Some features on this profile are disabled
CRD#: 5779469
SG

Professional summary

Sarah Guibert, who also goes by Sarah Beth Guibert, Sarah Beth Peckenpaugh, Sarah Beth Wark, Sarah Wark, Sarah Guibert, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Minneapolis, Minnesota.

Sarah is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Sarah has worked at 9 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 53, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Sarah Beth Guibert | Sarah Beth Peckenpaugh | Sarah Beth Wark | Sarah Wark | Sarah Guibert

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 Sarah Guibert's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Sarah Guibert'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

May 6, 2026 - Present

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA
BD
CRD#: 16164
Minneapolis, MN
Current

May 6, 2026 - Present

TRANSAMERICA FINANCIAL ADVISORS, LLC

Office #1: 6400 C St Sw, Cedar Rapids, IA 52499
RIA
BD
CRD#: 16164
Cedar Rapids, IA
Past

March 26, 2020 - March 16, 2026

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

RIA
CRD#: 116407
MINNEAPOLIS, MN
Past

February 5, 2020 - June 30, 2025

LPL FINANCIAL LLC

BD
CRD#: 6413
PLYMOUTH, MN
Past

February 5, 2020 - March 16, 2026

WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC

BD
CRD#: 130139
PLYMOUTH, MN
Past

June 12, 2018 - January 7, 2020

SCF INVESTMENT ADVISORS, INC.

RIA
CRD#: 123608
FRESNO, CA
Past

June 12, 2018 - January 7, 2020

SCF SECURITIES, INC.

BD
CRD#: 47275
SAN DIEGO, CA
Past

October 13, 2016 - April 13, 2018

KESTRA ADVISORY SERVICES, LLC

RIA
CRD#: 283330
AUSTIN, TX
Past

October 13, 2016 - April 13, 2018

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
AUSTIN, TX
Past

July 18, 2016 - October 5, 2016

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
AUSTIN, TX
Past

June 29, 2016 - October 5, 2016

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
AUSTIN, TX

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".
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.

CRD#: 16164 / SEC#: 801-38618, 8-33429

RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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.
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
Iowa
(5/6/2026)
IAR
Iowa
(5/6/2026)
RR
Minnesota
(5/6/2026)
IAR
Minnesota
(5/6/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/16/2016
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 4/5/2019
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/29/2016
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 5/3/2019
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 10/12/2018
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/27/2018
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.

CRD#: 16164 / SEC#: 801-38618, 8-33429

RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
PREMIUM
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Contact information

Main Address
Two Liberty Place 50 South 16th Street, Suite 3700, Philadelphia, PA 19102
Mailing Address
6400 C St Sw, Cedar Rapids, IA 52499-0001
Phone number
(727) 299-1800
Established
Delaware since 12/28/1984
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,054

SEC notice filing (53 States and Territories)

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

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

TRANSAMERICA FINANCIAL ADVISORS, INC. FORM ADV, PART 2A (10/6/2025)
TRANSAMERICA ELITE WEALTH MANAGEMENT PLATFORM PROGRAM - APPENDIX (10/6/2025)
TRANSAMERICA FINANCIAL ADVISORS, INC., FORM ADV PART 2A, APPENDIX 1 (3/28/2025)
TRANSAMERICA FINANCIAL ADVISORS, INC. FORM ADV PART 2A, APPENDIX 1 (3/28/2025)

Direct owners and executive officers

NamePositionCRD#
AUSA HOLDING, LLCOWNER
BARRY, MICHELLE ANNEDIRECTOR, PRESIDENT, CEO2744539
BEITZEL, BRIANDIRECTOR, CHIEF FINANCIAL OFFICER6183770
COSTELLO, ROBERTCHIEF OPERATIONS OFFICER1349716
KRAMER, CHRISTINA DCHIEF COMPLIANCE OFFICER4406871
TJOA, NATHANIELCHIEF SUPERVISORY OFFICER4667709

Regulatory assets under management

Total Number of Accounts42,440
AUM (Assets Under Management)$ 1,730,669,809

Disclosures

Regulatory Event19
Arbitration3
Bond3

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

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164Minneapolis, MN

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