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SC

Sarah G. Cole

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CRD#: 6828200
SC

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 Grace Cole, who also goes by Sarah De Courreges D'ustou, was a registered financial professional .

Sarah is a previously registered financial professional and started their career in finance in 2017. Sarah had worked at 1 firm and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sarah De Courreges D'ustou

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)

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 29, 2017 - February 16, 2018

ELM CAPITAL USA LIMITED

BD
CRD#: 154372
LONDON,

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
Series 63
Date: 9/6/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 2/16/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/29/2017
General Securities Representative Examination

Current Firm

EC
ELM CAPITAL USA LIMITED
ELM CAPITAL USA LIMITED

CRD#: 154372 / SEC#: , 8-68633

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

Main Address
7th Floor, Southwest House 11a Regent Street, St James, London, SW1Y 4LR
Mailing Address
7th Floor, Southwest House 11a Regent Street, St James, London, SW1Y 4LR
Phone number
011 44 207 901 8940
Established
Firm type
Other Types of Legal Formation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
ELM CAPITAL HOLDING LIMITEDHOLDING COMPANY, 100% DIRECT OWNER
DESHORMES, ETIENNECEO / CCO5811777
DORFMAN, ESTEE CARLAFINOP / CFO2696529

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

ELM CAPITAL USA LIMITED

CRD#: 154372

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