Sarah H. Ziese
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 Houston Ziese, who also goes by Sarah H Pointer, Sarah Houston Pointer, was a registered financial professional .
Sarah is a previously registered financial professional and started their career in finance in 2018. Sarah had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 9, 2022 - June 11, 2025
TIP GROUP LLC
May 3, 2021 - June 15, 2022
ON INVESTMENT MANAGEMENT CO
March 30, 2021 - June 15, 2022
THE O.N. EQUITY SALES COMPANY
July 8, 2020 - September 11, 2020
EQUITABLE ADVISORS, LLC
July 30, 2018 - September 11, 2020
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TIP GROUP LLC
CRD#: 322053 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 519 |
| AUM (Assets Under Management) | $ 36,251,612 |
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.
