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SB

Sarah E. Brecht

CONNAUGHT (U.S.) LLC
New York, NY 10003
Some features on this profile are disabled
CRD#: 6509772
SB

Professional summary

Sarah Elizabeth Brecht, who also goes by Sarah Brecht, Sarahbeth Brecht, is a registered financial professional currently at CONNAUGHT (U.S.) LLC located in New York, New York.

Sarah is registered as a RR (Registered Representative) and started their career in finance in 2016. Sarah has worked at 2 firms and has passed the Series 63, Series 7TO, SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sarah Brecht | Sarahbeth Brecht

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sarah Elizabeth Brecht'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®
None

Experience

Current

August 7, 2023 - Present

CONNAUGHT (U.S.) LLC

Office #1: 38 East 19th Street 8th Floor, New York, NY 10003
BD
CRD#: 300401
New York, NY
Past

August 9, 2016 - May 15, 2017

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
New York
(8/7/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 7/17/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 8/7/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/5/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 8/9/2016
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

C(
CONNAUGHT (U.S.) LLC
CONNAUGHT (U.S.) LLC

CRD#: 300401 / SEC#: , 8-70323

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
2 Soho Place, London, W1D 3BG
Mailing Address
2 Soho Place, London, W1D 3BG
Phone number
+44 20 7042 8097
Established
Delaware since 03/10/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
CONNAUGHT INTERNATIONAL LIMITEDMEMBER
CHUNG, MICHAELFINOP/POO/PFO5739877
HENRY, RAHIMA AKHTERCO-CEO5769017
HUELIN, JAMES RICHARDCO-CEO7391107
KRUKOWSKI, JULIAN THEODORECHIEF COMPLIANCE OFFICER3070439

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

CONNAUGHT (U.S.) LLC

CRD#: 300401New York, NY 10003

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