Sarah E. Morton
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 Elizabeth Morton, who also goes by Sarah Elizabeth Morton Jones, Sarah Morton Jones, Sarah E Morton, Sarah Elizabeth Jones Morton, Sarah Morton, Sarah Elizabeth Mortonjones, was a registered financial professional .
Sarah is a previously registered financial professional and started their career in finance in 1980. Sarah had worked at 8 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 13, 2015 - August 1, 2016
RACE ROCK CAPITAL LLC
February 13, 2006 - July 19, 2013
EATON VANCE DISTRIBUTORS, INC.
April 18, 1994 - May 6, 1996
NATIXIS DISTRIBUTION, LLC
May 6, 1992 - April 18, 1994
NEW ENGLAND SECURITIES
March 3, 1992 - April 3, 1992
OLD STONE SECURITIES COMPANY
February 24, 1987 - April 4, 1988
TUCKER ANTHONY INCORPORATED
March 19, 1985 - March 6, 1987
SIMMS SECURITIES, INC.
February 4, 1980 - March 22, 1985
WADDELL & REED
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
Series 1
Date: 1/24/1980
Registered Representative ExaminationCurrent Firm
RACE ROCK CAPITAL LLC
CRD#: 153363 / SEC#: , 8-68528
Contact information
FINRA licenses (9 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
