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SG

Sara E. Ghent

Some features on this profile are disabled
CRD#: 7489168
SG

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.

Sara Elizabeth Ghent was a registered financial professional .

Sara is a previously registered financial professional and started their career in finance in 2022. Sara had worked at 2 firms and has passed the Series 65 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
Ghent Motor Company Not Investment Related 2715 35th Ave Greeley Colorado 80634 Dealership Limited Partner 1/1/2020 0 hours per month devoted to business No duties as I am a limited partner

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

October 19, 2022 - October 3, 2024

ARNIE ADVISORS LLC

RIA
CRD#: 307049
SAN FRANCISCO, CA
Past

March 15, 2022 - October 10, 2022

ICONIQ CAPITAL, LLC

RIA
CRD#: 159198
SAN FRANCISCO, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AA
ARNIE ADVISORS LLC
ARNIE ADVISORS LLC | ARNIE, INC. | ARNIE LLC

CRD#: 307049 / SEC#: 801-120149

RIA
Registered Investment Advisory firm - (1/28/2021 Approved)

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
IAR
Series 65
Date: 12/23/2021
Uniform Investment Adviser Law Examination

Current Firm

AA
ARNIE ADVISORS LLC
ARNIE ADVISORS LLC | ARNIE, INC. | ARNIE LLC

CRD#: 307049 / SEC#: 801-120149

RIA
Registered Investment Advisory firm - (1/28/2021 Approved)
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Contact information

Main Address
San Francisco, CA
Mailing Address
Phone number
(415) 513-2298
Established
Firm type
Fiscal year end
# of Employees
3

SEC notice filing (1 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - BROCHURE SUPPLEMENT (3/28/2025)

Regulatory assets under management

Total Number of Accounts2
AUM (Assets Under Management)$ 45,953

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

ARNIE ADVISORS LLC

CRD#: 307049

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