Sarah J. Nierode
Professional summary
Sarah Johnston Nierode, CFP®, who also goes by Sarah Isabelle Johnston, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in San Francisco, California and CHARLES SCHWAB & CO., INC. located in San Francisco, California.
Sarah is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Sarah has worked at 2 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Sarah Johnston Nierode's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 2, 2019 - Present
SCHWAB WEALTH ADVISORY, INC.
Office #1: 211 Main St, San Francisco, CA 94105July 9, 2018 - Present
CHARLES SCHWAB & CO., INC.
Office #1: 211 Main Street, San Francisco, CA 94105July 3, 2019 - September 2, 2019
CHARLES SCHWAB & CO., INC.
Primary Firm SEC Registration
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/24/2020)
(1/2/2019)
(3/24/2020)
(7/30/2018)
(1/18/2023)
(7/9/2018)
(9/27/2018)
(1/2/2019)
(8/21/2019)
(9/27/2018)
(3/24/2020)
(1/2/2019)
(8/21/2019)
(9/27/2018)
(9/27/2018)
(1/2/2019)
(1/2/2019)
(1/2/2019)
(3/24/2020)
(8/21/2019)
(8/21/2019)
(1/2/2019)
(1/10/2021)
(8/21/2019)
(1/2/2019)
Exams
FINRA
Nasdaq Stock Market
Current Firm
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
Contact information
SEC notice filing (53 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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