Sarah M. Applegate
Professional summary
Sarah Madeleine Applegate, who also goes by Sarah Applegate, is a registered financial professional currently at SEI INVESTMENTS DISTRIBUTION CO. located in Oaks, Pennsylvania.
Sarah is registered as a RR (Registered Representative) and started their career in finance in 2018. Sarah has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Sarah Madeleine Applegate's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 6, 2021 - Present
SEI INVESTMENTS DISTRIBUTION CO.
Office #1: One Freedom Valley Drive, Oaks, PA 19456October 6, 2021 - February 7, 2022
SEI INVESTMENTS MANAGEMENT CORP
October 12, 2020 - September 24, 2021
DINOSAUR FINANCIAL GROUP, L.L.C
March 12, 2019 - August 13, 2020
FS INVESTMENT SOLUTIONS, LLC
February 1, 2019 - February 19, 2019
MML INVESTORS SERVICES, LLC
August 9, 2018 - February 19, 2019
MML INVESTORS SERVICES, 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
(10/6/2021)
Exams
FINRA
Current Firm
SEI INVESTMENTS DISTRIBUTION CO.
CRD#: 10690 / SEC#: , 8-27897
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SEI INVESTMENTS COMPANY | SHAREHOLDER | |
| CAMPISI, JENNIFER HICKMAN | CHIEF COMPLIANCE OFFICER, ASST SECRETARY | 5299753 |
| COARY, JOHN PATRICK | TREASURER, CFO | 2551648 |
| CROWE, KEVIN FRANCIS | DIRECTOR | 2109967 |
| DORAN, WILLIAM M | DIRECTOR | 1476724 |
| KLAUDER, PAUL FRANCIS | DIRECTOR, PRESIDENT, CEO | 2474240 |
| MCGHIN, JASON MICHAEL | COO | 3119188 |
| MUNCH, JOHN CHARLES | SECRETARY, GENERAL COUNSEL | 4739576 |
Disclosures
| Regulatory Event | 4 |
Red Flags
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