Sarah A. Leners
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 Ann Leners was a registered financial professional .
Sarah is a previously registered financial professional and started their career in finance in 2012. Sarah had worked at 5 firms and has passed the Series 66, SIE, Series 79, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 29, 2018 - December 10, 2019
LAZARD MIDDLE MARKET LLC
July 20, 2016 - October 10, 2018
DEUTSCHE BANK SECURITIES INC.
January 23, 2014 - August 28, 2014
ALLSPRING FUNDS MANAGEMENT, LLC
January 6, 2014 - August 28, 2014
ALLSPRING FUNDS DISTRIBUTOR, LLC
April 6, 2012 - November 20, 2013
MORGAN STANLEY
March 9, 2012 - November 20, 2013
MORGAN STANLEY
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LAZARD MIDDLE MARKET LLC
CRD#: 146092 / SEC#: , 8-67786
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
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.
