Sara Andres is a registered investment advisor, based in Spearfish, SD, with 24 years of industry experience.
Location
Spearfish, SD
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Sara is the President of Antestari LLC, a risk and compliance consulting firm, since 2018. She dedicates about half her time to providing consultation, advice, and materials to broker-dealers and RIAs, and serving as an expert witness.
Employment History
Current Registrations
Bosonic SecuritiesBroker
June 2024 - Present · 1 yr 11 mos
Sequence Financial Specialists LLC
June 2024 - Present · 1 yr 11 mos
Sequence Financial Specialists LLCBroker
June 2024 - Present · 1 yr 11 mos
Sharebuilder 401k
January 2020 - Present · 6 yrs 4 mos
Previous Registrations
Dealmaker SecuritiesBroker
March 2022 - June 2022 · 3 mos
Benchmark Investments, LLCBroker
May 2020 - February 2022 · 1 yr 9 mos
M Holdings Securities, INC.
June 2017 - July 2018 · 1 yr 1 mo
M Financial Securities Marketing, INC.Broker
June 2017 - July 2018 · 1 yr 1 mo
M Holdings Securities, INC.Broker
June 2017 - July 2018 · 1 yr 1 mo
Capital One Advisors, LLC
September 2013 - February 2016 · 2 yrs 5 mos
Capital One Investing, LLCBroker
September 2013 - February 2016 · 2 yrs 5 mos
Ameritas Investment CORP
July 2012 - July 2013 · 1 yr
Ameritas Investment CORP.Broker
May 2012 - July 2013 · 1 yr 2 mos
TD Ameritrade, INC.
April 2010 - April 2012 · 2 yrs
Thinkorswim, INC.Broker
June 2009 - May 2010 · 11 mos
TD Ameritrade, INC.Broker
April 2006 - April 2012 · 6 yrs
Amerivest Investment Management, LLC
March 2003 - April 2012 · 9 yrs 1 mo
TD Ameritrade Clearing, INC.Broker
January 2002 - April 2012 · 10 yrs 3 mos
AmeritradeBroker
May 1998 - December 2001 · 3 yrs 7 mos
State Registrations6 states
CAFLILSCSDWA
AdvisorBroker
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Exams
No exam information available for this advisor.