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SE

Sarah A. Errington

WEA INVESTMENT SERVICES
Madison, WI 53713
Some features on this profile are disabled
CRD#: 6630842
SE

Professional summary

Sarah Ann Errington, who also goes by Sarah A Errington, Sarah Stender Errington, Sarah Errington, Sarah Ann Stender, is a registered financial professional currently at WEA INVESTMENT SERVICES, INC. located in Madison, Wisconsin.

Sarah is registered as a RR (Registered Representative) and started their career in finance in 2017. Sarah has worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sarah A Errington | Sarah Stender Errington | Sarah Errington | Sarah Ann Stender

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) 11/9/2020- First Business Bank- Financial Institution Duty/Registered client service assistant- Inv. Related- Madison, WI- start date 11/2020-160hrs/mth 2)11/9/2020- Notary Public- Inv. Related- Madison, WI- start date 9/27/2015- 30% 3) 1/21/2021 - First Business Bank - DBA: Investment Services at First Business Bank - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 01/13/2021 - 160 Hours Per Month During Securities Trading. 4) 06/02/2022 - Marshalls - Not Investment Related - 1700 Deming Way, Middleton, WI 53562 - Outside/W-2 Employment - Retail Sales Associate - Start Date: 06/14/2022 - 60 Hours Per Month/0 Hours During Securities Trading.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sarah Ann Errington'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®
None

Experience

Current

September 15, 2023 - Present

WEA INVESTMENT SERVICES, INC.

Office #1: 660 John Nolen Drive, Madison, WI 53713
BD
CRD#: 126907
Madison, WI
Past

November 28, 2022 - September 9, 2023

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
MADISON, WI
Past

November 28, 2022 - September 9, 2023

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
MADISON, WI
Past

November 9, 2020 - November 22, 2022

LPL FINANCIAL LLC

RIA
CRD#: 6413
MADISON, WI
Past

November 9, 2020 - November 22, 2022

LPL FINANCIAL LLC

BD
CRD#: 6413
MADISON, WI
Past

October 30, 2019 - August 25, 2020

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
MADISON, WI
Past

February 12, 2019 - August 25, 2020

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
MADISON, WI
Past

October 17, 2017 - September 19, 2018

OSAIC FA, INC.

BD
CRD#: 3978
MADISON, WI

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
Wisconsin
(9/15/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/30/2019
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 11/21/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 9/19/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/19/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 10/17/2017
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

WI
WEA INVESTMENT SERVICES, INC.
WEA INVESTMENT SERVICES, INC.

CRD#: 126907 / SEC#: , 8-65926

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

Main Address
660 John Nolen Drive, Madison, WI 53713-3959
Mailing Address
Po Box 7893, Madison, WI 53707
Phone number
(800) 279-4030
Established
Wisconsin since 04/10/2003
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (14 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
WEA MEMBER BENEFIT TRUSTSHAREHOLDER
BENDER, BOYD GRISWOLDCCO3082505
BENDER, BOYD GRISWOLDPRESIDENT3082505
BROWN, SUZANNE LEETRUSTEE/DIRECTOR
DIGMAN, CAROLYN KAYFINOP7125836
LOR, MAIWATRUSTEE/DIRECTOR7786308
MAHONEY, KATHLEEN TRUDEAUTRUSTEE/DIRECTOR8120398
MARTINEZ, JESSE ANDREWTRUSTEE/DIRECTOR7977660
OLSEN-WIRTZ, PEGGY LYNNTRUSTEE/DIRECTOR7641439
UGORETZ, NATHAN LAKETRUSTEE/DIRECTOR7641425
WILCOX, THOMAS JON JRTRUSTEE/DIRECTOR7977638

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

WEA INVESTMENT SERVICES, INC.

CRD#: 126907Madison, WI 53713

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