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SG

Sarah A. Grayer

WALLED LAKE PLANNING & WEALTH MANAGEMENT
Highland Park, IL 60035
Some features on this profile are disabled
CRD#: 6291960
SG

Professional summary

Sarah Anne Grayer, CFP®, who also goes by Sarah A Grayer, Sarah Anne Lawler, is a registered financial advisor currently at WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC located in Highland Park, Illinois.

Sarah is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Sarah has worked at 4 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Sarah A Grayer | Sarah Anne Lawler

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.
(1) NAME OF ENTITY: IT WORKS MARKETING POSITION: INDEPENDENT DISTRIBUTOR START DATE: 2/16/2019 ADDRESS: 33398 Grayslake, Il DETAILS: WORKING FROM HOME ON SOCIAL MEDIA, CONNECTING WITH PEOPLE AND SHARING THE NUTRITIONAL PRODUCTS. INVESTMENT RELATED: NO HOURS DEDICATED (per month unless otherwise indicated): 25 HOURS DURING TRADING: 0 (2) ILLINOIS DEPARTMENT OF INSURANCE; INVESTMENT RELATED; INSURANCE LICENSE; HOURS VARY BASED ON CLIENT NEEDS; SERVICING OF ACCOUNTS. (3) NAME OF ENTITY: HOLY CROSS LUTHERAN CHURCH POSITION: DIRECTOR OF YOUTH & FAMILY MINISTRY START DATE: 6/1/2020 ADDRESS:IL DETAILS: LEAD YOUTH GROUP PROGRAM, PLAN & EXECUTE EVENTS THROUGHOUT THE YEAR INVESTMENT RELATED: NO HOURS DEDICATED (per month unless otherwise indicated): 40 HOURS DURING TRADING: 0

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sarah Anne Grayer'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®
CFP®

Certified Financial Planner

Start date: 2016

Experience

Current

June 25, 2019 - Present

WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC

Office #1: 600 Elm Place, Highland Park, IL 60035
RIA
CRD#: 299595
Highland Park, IL
Past

July 14, 2016 - June 4, 2019

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
WINNETKA, IL
Past

July 14, 2016 - June 4, 2019

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
WINNETKA, IL
Past

February 12, 2015 - July 19, 2016

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
SCHAUMBURG, IL
Past

January 2, 2015 - July 19, 2016

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
SCHAUMBURG, IL
Past

February 18, 2014 - November 17, 2014

SUNDVOLD FINANCIAL

RIA
CRD#: 108176
COLUMBIA, MO

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".
WL
WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC
WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC

CRD#: 299595 / SEC#: 801-114386

RIA
Registered Investment Advisory firm - (12/6/2018 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.

Highlighted states indicate IAR registrations

IAR
Illinois
(6/25/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 3/16/2015
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 2/18/2014
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/12/2015
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 5/10/2016
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 4/4/2016
General Securities Sales Supervisor - Options Module Examination

Current Firm

WL
WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC
WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC

CRD#: 299595 / SEC#: 801-114386

RIA
Registered Investment Advisory firm - (12/6/2018 Approved)
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Contact information

Main Address
600 Elm Place, Highland Park, IL 60035
Mailing Address
Phone number
(847) 616-2590
Established
Firm type
Fiscal year end
# of Employees
8

SEC notice filing (10 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

WALLED LAKE PLANING & WEALTH MANAGEMENT, LLC - WRAP FEE PROGRAM BROCHURE (3/20/2025)
DISCLOSURE BROCHURE - WALLED LAKE PLANNING & WEALTH MANAGEMENT (3/20/2025)

Regulatory assets under management

Total Number of Accounts2,092
AUM (Assets Under Management)$ 669,251,402

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

WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC

CRD#: 299595Highland Park, IL 60035

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