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SB

Sarah A. Barragan

Some features on this profile are disabled
CRD#: 6529492
SB

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 Barragan, who also goes by Sarah Barragan, Sarah Schaffer, was a registered financial professional .

Sarah is a previously registered financial professional and started their career in finance in 2015. Sarah had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sarah Barragan | Sarah Schaffer

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. Modmade Market LLC;Bowling Green KY 42103;An online clothing boutique;co-owner;Assist in running the business by handling inventory, the company website, and the social media accounts;5/20/19;5 hr/wk;not during securities trading hours;not investment related.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 13, 2018 - January 5, 2023

STIFEL INDEPENDENT ADVISORS, LLC

RIA
CRD#: 28218
ST LOUIS, MO
Past

August 13, 2018 - January 5, 2023

STIFEL INDEPENDENT ADVISORS, LLC

BD
CRD#: 28218
ST. LOUIS, MO
Past

July 25, 2018 - January 5, 2023

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RIA
CRD#: 793
ST LOUIS, MO
Past

July 25, 2018 - January 5, 2023

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BD
CRD#: 793
ST. LOUIS, MO
Past

February 27, 2018 - July 6, 2018

TD AMERITRADE, INC.

RIA
CRD#: 7870
ST. LOUIS, MO
Past

February 26, 2018 - June 14, 2018

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 111514
OMAHA, NE
Past

February 26, 2018 - July 6, 2018

TD AMERITRADE, INC.

BD
CRD#: 7870
ST. LOUIS, MO
Past

January 26, 2017 - February 26, 2018

SCOTTRADE INVESTMENT MANAGEMENT

RIA
CRD#: 169988
SAINT LOUIS, MO
Past

September 3, 2015 - February 26, 2018

SCOTTRADE, INC.

BD
CRD#: 8206
ST LOUIS, 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".
SI
STIFEL INDEPENDENT ADVISORS, LLC
CENTURY SECURITIES ASSOCIATES INC | STIFEL INDEPENDENT ADVISORS, LLC | CENTURY SECURITIES ASSOCIATES, INC.

CRD#: 28218 / SEC#: 801-43561, 8-43514

RIA
Registered Investment Advisory firm - SEC (3/19/1993 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/26/2017
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 10/17/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/3/2015
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/11/2019
General Securities Principal Examination

Current Firm

SI
STIFEL INDEPENDENT ADVISORS, LLC
CENTURY SECURITIES ASSOCIATES INC | STIFEL INDEPENDENT ADVISORS, LLC | CENTURY SECURITIES ASSOCIATES, INC.

CRD#: 28218 / SEC#: 801-43561, 8-43514

RIA
Registered Investment Advisory firm - SEC (3/19/1993 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
One Financial Plaza 501 North Broadway, St Louis, MO 63102
Mailing Address
One Financial Plaza 501 North Broadway, St. Louis, MO 63102
Phone number
(314) 342-4051
Established
Missouri since 05/24/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
206

SEC notice filing (49 States and Territories)

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

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

ADVISORY CONSULTING SERVICES (3/31/2025)
FINANCIAL PLANNING (3/31/2025)
WRAP FEE PROGRAM (3/31/2025)

Direct owners and executive officers

NamePositionCRD#
STIFEL FINANCIAL CORP.OWNER-HOLDING COMPANY OWNING 100%
KRUSZEWSKI, RONALD JAMESCHAIRMAN, STIFEL FINANCIAL1434827
BRAUTIGAM, ALLEN CORPRESIDENT AND CEO2400179
BRIGHT, GEOFFREY CLYDE JRCHIEF COMPLIANCE OFFICER4696103
DODSON, CHARLES EDWARDCCO-ADVISORY SERVICES1744430
FISHER, MARK PHILIPGENERAL COUNSEL4970942
MELINGER, ADAM SCOTTROSFP2373020
NOLL, DOUGLAS WAYNEPRINCIPAL OPERATIONS OFFICER1614129
ROWAN, JAMES FRANCISPRINCIPAL FINANCIAL OFFICER1976998
ZEMLYAK, JAMES MARKMANAGER, BOARD OF MANAGERS1586132

Regulatory assets under management

Total Number of Accounts11,648
AUM (Assets Under Management)$ 4,379,138,273

Disclosures

Regulatory Event3
Arbitration1

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
08/20/2024
Cover Page
Report
09/28/2023
Cover Page
Report
11/28/2022
Cover Page
Report

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

STIFEL INDEPENDENT ADVISORS, LLC

CRD#: 28218

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