Sarah Lee
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.
Sarah Lee, who also goes by Sarah May Kern, Sarah May Lee, was a registered financial professional .
Sarah is a previously registered financial professional and started their career in finance in 2011. Sarah had worked at 9 firms and has passed the Series 63, Series 66, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 19, 2021 - August 21, 2025
ACORNS
November 18, 2021 - August 21, 2025
ACORNS SECURITIES, LLC
March 26, 2021 - October 6, 2021
VOYA FINANCIAL ADVISORS, INC.
March 26, 2021 - October 6, 2021
VOYA FINANCIAL ADVISORS, INC.
March 18, 2019 - March 23, 2021
CREATIVEONE SECURITIES, LLC
March 18, 2019 - March 23, 2021
CREATIVEONE SECURITIES, LLC
November 1, 2018 - February 21, 2019
MUTUAL SECURITIES, INC.
September 5, 2018 - March 13, 2019
FINANCIAL PARTNERS GROUP, INC.
November 20, 2015 - April 10, 2018
NUANCE INVESTMENTS, LLC
March 8, 2013 - January 14, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
March 8, 2013 - January 14, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
March 5, 2012 - December 21, 2012
CETERA ADVISORS LLC
August 26, 2011 - December 21, 2012
CETERA ADVISORS LLC
Primary Firm SEC Registration
ACORNS
CRD#: 165926 / SEC#: 801-78602
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ACORNS
CRD#: 165926 / SEC#: 801-78602
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,813,137 |
| AUM (Assets Under Management) | $ 10,380,859,924 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 11/28/2023 | ||
| 04/24/2023 |
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.
