Individual Firm
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
SARA KATHRYN WALLACE
SARA K IMEL, SARA KATHRYN IMEL
CRD#: 3038256
IA
B
MORGAN STANLEYCRD#: 149777 4285 COMMERCIAL STREET S.E.
SUITE 200
SALEM, OR 97302
SUITE 200
SALEM, OR 97302
0
Disclosures
26
Years of Experience
View By:
State Registrations
B
Arizona 6/1/2009
B
New York 10/8/2018
B
California 6/1/2009
B
North Carolina 1/9/2024
B
Florida 11/6/2013
B
Oregon 6/1/2009
B
Hawaii 10/21/2013
IA
Oregon 6/1/2009
B
Idaho 6/1/2009
B
Pennsylvania 10/21/2013
B
Minnesota 1/6/2015
B
South Carolina 9/19/2024
B
Montana 1/14/2011
B
Tennessee 5/23/2019
B
Nevada 6/1/2009
B
Texas 6/1/2009
B
New Jersey 6/1/2009
IA
Texas 5/5/2020
B
New Mexico 10/8/2021
B
Washington 6/1/2009
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 6/1/2009
B
Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/09/2003 - 06/01/2009 | SALEM, OR | |
B | 06/03/1998 - 06/01/2009 | SALEM, OR |
For additional information about investment advisers or broker-dealers, please visit
B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.