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SARAH EXELL
SARAH LOUISE EXELL, Sarah Exell
CRD#: 5818080
IA
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 75 PORT CITY LNDG
MOUNT PLEASANT, SC 29464
MOUNT PLEASANT, SC 29464
0
Disclosures
10
Years of Experience
View By:
State Registrations
B
Alabama 1/3/2022
B
New Hampshire 3/18/2021
B
Arizona 1/15/2021
B
New Jersey 1/5/2021
B
California 10/20/2020
B
North Carolina 5/4/2017
B
Connecticut 2/2/2022
B
Ohio 1/4/2022
B
Florida 5/3/2017
B
Oregon 7/23/2024
B
Georgia 5/5/2017
B
Pennsylvania 1/5/2021
B
Illinois 1/5/2022
B
South Carolina 5/3/2017
B
Indiana 10/27/2023
IA
South Carolina 5/3/2017
B
Iowa 6/11/2024
B
Tennessee 5/3/2017
B
Maryland 12/12/2019
B
Texas 5/5/2017
B
Massachusetts 2/6/2020
IA
Texas 5/5/2017
B
Michigan 6/1/2023
B
Utah 10/11/2023
B
Minnesota 2/2/2024
B
Virginia 1/5/2021
B
Nevada 1/19/2022
B
Washington 1/22/2021
SRO Registrations
B
B
B
B
B
B
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IA
Registered with this firm since 5/3/2017
B
Registered with this firm since 5/2/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/05/2016 - 05/03/2017 | Goose Creek, SC | |
B | 01/04/2016 - 05/03/2017 | Goose Creek, SC | |
IA | 09/09/2013 - 01/26/2015 | CHARLESTON, SC | |
B | 07/03/2013 - 01/26/2015 | CHARLESTON, SC |
CHARLESTON, SC
09/09/2013 - 01/26/2015
CHARLESTON, SC
07/03/2013 - 01/26/2015
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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.
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.