Sarah Westbrook is a registered investment advisor at Act Securities, LLC, based in Charlotte, NC, with 20 years of industry experience. Sarah operates on a fee-only basis, meaning they do not earn commissions from product sales.
Compensation
Firm Size
IM Fee
Fee Structure
Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.
Location
Charlotte, NC
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Sarah works as a consultant for Securities Compliance Management, Inc. (SCM) and its subsidiaries, MasterCompliance, LLC and MasterSupervision, LLC, dedicating nearly full-time hours to compliance consulting. As part of the consulting service, Sarah may be registered with other B/Ds or RIAs.
Employment History
Current Registrations
Act Securities, LLC
Sera Global Securities US LLC
Sera Global Securities US LLCBroker
Sable Capital LLCBroker
Sable Capital LLC
Advantage Securities LLCBroker
Advantage Securities LLC
Sherman & Company LLCBroker
Capfinancial Securities, LLC.Broker
Capfinancial Securities, LLC.
Captrust
Previous Registrations
Watchdog Capital, LLCBroker
Zermatt Securities, INC.Broker
Hayden Royal
Capfinancial Securities, LLC.Broker
Founders Financial Securities, LLC
Founders Financial Securities LLCBroker
Fintrust Brokerage Services, LLCBroker
Harbor Light Securities, LLCBroker
1st Worldwide Financial Partners, LLCBroker
Certussecurities, INC.Broker
Coastal Equities, INC.Broker
Sherman & Company LLCBroker
Advantage Securities LLCBroker
Riverstone Wealth Management, INC.Broker
Carolinas Investment Consulting LLCBroker
Carolinas Investment Consulting LLC
1792 Securities, LLCBroker
American Securities Group, INC.
American Securities Group, INC.Broker
Uvest Financial Services Group, INC.Broker
Uvest Financial Services Group, INC.
Triune Capital Advisors LLC
Triune Capital Advisors LLCBroker
Newport Group Securities, INC.Broker
Newport Group Securities, INC.
State Registrations9 states
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