Sarah N. Pearce
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 Nicole Pearce, who also goes by Sarah Nicole Neikirk, was a registered financial professional .
Sarah is a previously registered financial professional and started their career in finance in 2013. Sarah had worked at 3 firms and has passed the Series 65 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 18, 2019 - July 16, 2020
CONGRESS WEALTH MANAGEMENT LLC
January 20, 2016 - July 16, 2019
SVB WEALTH
July 24, 2013 - February 12, 2016
FILIGREE ADVISORS
State Registrations and Notice Filings
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Current Firm
CONGRESS WEALTH MANAGEMENT LLC
CRD#: 149446 / SEC#: 801-69988
Contact information
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.
