Sarah Shotts is a registered investment advisor, based in Birmingham, AL, with 27 years of industry experience.
Location
2501 20th Place S, Ste 101, Birmingham, AL, 35223
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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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Sarah is a partner in ELL LLC, which owns the home her mother lives in. This activity is not investment-related and requires minimal time.
Employment History
Current Registrations
Truist Advisory Services, INC.
February 2021 - Present · 5 yrs 5 mos
Truist Investment Services, INC.
February 2021 - Present · 5 yrs 5 mos
Truist Investment Services, INC.Broker
February 2021 - Present · 5 yrs 5 mos
Previous Registrations
Bb&t Securities, LLCBroker
September 2015 - February 2021 · 5 yrs 5 mos
Bb&t Securities, LLC
September 2015 - February 2021 · 5 yrs 5 mos
Morgan Stanley
June 2009 - September 2015 · 6 yrs 3 mos
Morgan StanleyBroker
June 2009 - September 2015 · 6 yrs 3 mos
Citigroup Global Markets INC.
April 2007 - June 2009 · 2 yrs 2 mos
Citigroup Global Markets INC.Broker
February 2006 - June 2009 · 3 yrs 4 mos
Legg Mason Wood Walker, IncorporatedBroker
April 2001 - February 2006 · 4 yrs 10 mos
UBS Painewebber INC.Broker
August 2000 - March 2001 · 7 mos
J.C. Bradford & CO.Broker
April 1999 - August 2000 · 1 yr 4 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
February 1998 - April 1999 · 1 yr 2 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.