Sara A. Norell
KESTRA ADVISORY SERVICES
Plymouth, MN 55441
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CRD#: 5959920
Professional summary
Sara Allison Monahan Norell, CFP®, who also goes by Sara A Monahan, Sara Allison Monahan, Sara Allison Norell, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Plymouth, Minnesota and KESTRA INVESTMENT SERVICES, LLC located in Plymouth, Minnesota.
Sara is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Sara has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sara A Monahan | Sara Allison Monahan | Sara Allison Norell
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.
Business Name: THE KNW GROUP POSITION: Senior Associate NATURE: Registered rep activities through Kestra Investment Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 12/11/2017 ADDRESS: 505 Hwy 169 N, Suite 1100, Plymouth MN 55441 DESCRIPTION: Wealth Management Business Name: NFP Investment Related: Yes Address: 505 Highway 169 North, Suite 1100 Plymouth MN 55441 Nature of Business: Registered Field Assistant Position, Title or Relationship: Client Manager/Advisor Start Date: 3/7/2019 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Client Manger Business Name: NFP Retirement Investment Related: Yes Address: 120 Vantis, Suite 400 Aliso Viejo CA 92656 Nature of Business: Registered Field Assistant Position, Title or Relationship: Advisor Start Date: 10/19/2020 Hours per month: 11% - 20% (17 - 32 hours) Hours per month during trading hours: 11% - 20% (15 - 28 hours) Duties: Assist advisors, who are contracted with NFP Retiremnet, manage and service their clients and client accounts. Business Name: THE HERRERA GROUP POS: Associate NATURE: Registered Field Assistant INVEST REL: Y #OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 10/07/2022 ADDRESS: 505 Highway 169 North, Ste 1100, Plymouth MN 55441 DESCRIPTION: Financial Planning and Wealth Management Business Name: KESTRA ADVISORY SERVICE POSITION: Advisor NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 30 START DATE: 04/01/2022 ADDRESS: 5707 Southwest Parkway, Building 2, Suite 400, Austin TX 78735 DESCRIPTION: Financial Planning
CRS (Client Relationship Summary) - RIA
Click below to view Sara Allison Monahan Norell's 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®
Start date: 2015
Experience
Current
December 22, 2017 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 505 Waterford Park Highway 169 N, Suite 1100, Plymouth, MN 55441RIA
CRD#: 283330
Plymouth, MN
Current
December 22, 2017 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 505 Hwy 169 N, Suite 1100, Plymouth, MN 55441BD
CRD#: 42046
Plymouth, MN
Past
January 15, 2013 - December 8, 2017
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
EDINA, MN
Past
September 17, 2012 - December 8, 2017
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
EDINA, MN
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 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.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
Arizona(3/9/2022)
RR
California(7/17/2024)
RR
Colorado(8/16/2023)
RR
Florida(11/7/2024)
RR
Illinois(3/9/2022)
RR
Iowa(8/30/2024)
RR
Kansas(10/9/2023)
RR
Maine(8/17/2022)
RR
Maryland(10/18/2024)
RR
Massachusetts(5/23/2024)
RR
Michigan(3/9/2022)
RR
Minnesota(12/22/2017)
IAR
Minnesota(12/22/2017)
RR
Montana(1/6/2025)
RR
Nebraska(3/9/2022)
RR
New Mexico(3/9/2022)
RR
New York(1/6/2023)
RR
Ohio(12/10/2024)
RR
Texas(11/2/2022)
IAR
Texas(10/20/2023)
RR
Washington(12/4/2024)
RR
Wisconsin(3/9/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
