Sara G. Rakestraw
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 Gillespie Rakestraw, who also goes by Sara Ann Gillespie, Sara Ann Rakestraw, was a registered financial professional .
Sara is a previously registered financial professional and started their career in finance in 1977. Sara had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1, Series 53, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 1, 2012 - September 6, 2013
WALNUT STREET SECURITIES, INC.
February 1, 2012 - September 6, 2013
TOWER SQUARE SECURITIES, INC.
February 1, 2012 - July 8, 2016
METLIFE INVESTORS DISTRIBUTION COMPANY
March 16, 2005 - December 12, 2016
MSI FINANCIAL SERVICES, INC.
March 16, 2005 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
March 16, 2005 - January 2, 2015
NEW ENGLAND SECURITIES
March 16, 2005 - December 12, 2016
MSI FINANCIAL SERVICES, INC.
March 8, 2000 - November 1, 2004
EQUITABLE ADVISORS, LLC
October 20, 1980 - November 1, 2004
EQUITABLE ADVISORS, LLC
April 21, 1977 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
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: 4/16/1977
Registered Representative ExaminationCurrent Firm
WALNUT STREET SECURITIES, INC.
CRD#: 15840 / SEC#: 801-62161, 8-32772
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| METLIFE, INC. | DIRECT OWNER | |
| AQUINO, VIRGELAN ERNESTO | CHIEF COMPLIANCE OFFICER, BROKER DEALER | 2976229 |
| CARRIER, ANDRE THEODORE | CHIEF OPERATIONS OFFICER | 2257728 |
| COHN, MARC ALLAN | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | 2464524 |
| DWYER, JAMES | VICE PRESIDENT, LICENSING AND REGISTRATION | |
| FORGET, ELIZABETH MARY | DIRECTOR | 2767945 |
| HALPERIN, JEFFREY PAUL | ANTI-MONEY LAUNDERING OFFICER | 2899327 |
| LACEK, MICHAEL J | CHIEF LEGAL OFFICER | |
| MARKHAM, CRAIG WILLIAM | PRESIDENT AND DIRECTOR | 1383638 |
| MARTINEZ, JOHN GREGORY | VICE PRESIDENT AND FINANCIAL AND OPERATIONS PRINCIPAL | 2210722 |
| TORRES, ISAAC | SECRETARY |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
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.
