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SARAH HARKINS FLICK
SARAH L HARKINS, SARAH L. HARKINS
CRD#: 4740061
IA
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 800 E COLORADO BLVD
PASADENA, CA 91101
PASADENA, CA 91101
0
Disclosures
21
Years of Experience
View By:
State Registrations
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Alabama 9/5/2023
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New Hampshire 4/3/2014
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Arizona 1/13/2009
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New Jersey 2/15/2013
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Arkansas 1/4/2021
B
New Mexico 2/15/2013
B
California 1/13/2009
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New York 1/13/2009
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California 1/14/2009
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North Carolina 1/13/2009
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Colorado 1/13/2009
B
Ohio 2/19/2013
B
Connecticut 2/15/2013
B
Oklahoma 8/24/2023
B
Delaware 2/1/2016
B
Oregon 1/13/2009
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District of Columbia 12/7/2017
B
Pennsylvania 1/13/2009
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Florida 1/13/2009
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Puerto Rico 11/7/2018
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Georgia 7/16/2010
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Rhode Island 7/14/2022
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Hawaii 2/15/2013
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South Carolina 6/1/2022
B
Idaho 1/13/2009
B
South Dakota 11/16/2022
B
Illinois 1/13/2009
B
Tennessee 2/15/2013
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Indiana 7/18/2011
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Texas 1/13/2009
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Kentucky 1/15/2015
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Texas 2/15/2013
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Maryland 1/13/2009
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Utah 1/13/2009
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Massachusetts 1/13/2009
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Vermont 1/17/2017
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Michigan 3/15/2021
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Virginia 1/13/2009
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Mississippi 11/8/2023
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Washington 1/13/2009
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Missouri 1/17/2017
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Wisconsin 10/1/2014
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Montana 2/15/2013
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Wyoming 1/15/2021
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Nevada 1/13/2009
SRO Registrations
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Registered with this firm since 1/13/2009
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Registered with this firm since 1/13/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/02/2007 - 01/14/2009 | RANCHO SANTE FE, CA | |
B | 04/02/2007 - 01/14/2009 | RANCHO SANTE FE, CA | |
IA | 06/29/2006 - 04/02/2007 | RANCHO SANTE FE, CA | |
B | 06/29/2006 - 04/02/2007 | RANCHO SANTE FE, CA | |
IA | 03/31/2004 - 04/24/2006 | LOS ANGELES, CA | |
B | 01/19/2004 - 04/24/2006 | NEW YORK, NY |
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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.
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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.