Sara Jane Andres

Employer firm

Sharebuilder 401K CRD 300537

5,500 advisory clients

Reported services (Item 5G)

Pension consulting
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Sharebuilder 401K

801 Second Ave Suite 1400, Seattle, WA 98104 • United States

Current Registrations

Authority	Category	Status	Date
WA	RA	APPROVED	2021-03-04
SD	RA	APPROVED	2020-01-16

WA RA
APPROVED

Since 2021-03-04
SD RA
APPROVED

Since 2020-01-16

Branch Locations

Spearfish, SD • United States

801 Second Ave Suite 1400, Seattle, WA 98104 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Msx Securities Llc	Irvine	CA	06/2026	Present
M Financial	Portland	OR	06/2017	06/2018
Antestari, Llc	Portland	OR	08/2018	Present
Self Employed	Kirkland	WA	01/2016	06/2017
Benchmark Investments, Inc	Stockbridge	GA	05/2020	02/2022
Sharebuilder 401K, Llc	Seattle	WA	09/2018	Present
Dealmaker Securities Llc	Melville	NY	08/2021	06/2022
Sequence Financial Specialists	Florence	SC	06/2024	04/2026
Wolfpack Brokerage Services	New York	NY	07/2026	Present
Bosonic Securities	Spearfish	SD	06/2024	Present

06/2026 → Present

Msx Securities Llc

Irvine, CA
06/2017 → 06/2018

M Financial

Portland, OR
08/2018 → Present

Antestari, Llc

Portland, OR
01/2016 → 06/2017

Self Employed

Kirkland, WA
05/2020 → 02/2022

Benchmark Investments, Inc

Stockbridge, GA
09/2018 → Present

Sharebuilder 401K, Llc

Seattle, WA
08/2021 → 06/2022

Dealmaker Securities Llc

Melville, NY
06/2024 → 04/2026

Sequence Financial Specialists

Florence, SC
07/2026 → Present

Wolfpack Brokerage Services

New York, NY
06/2024 → Present

Bosonic Securities

Spearfish, SD

Previous Registrations

2017-06-29 → 2018-07-20

M Holdings Securities, Inc.

Portland, OR

Portland, OR
2013-09-05 → 2016-02-03

Capital One Advisors, Llc

Mclean, VA
2012-07-20 → 2013-07-31

Ameritas Investment Company, Llc

Lincoln, NE
2010-04-08 → 2012-04-17

Td Ameritrade, Inc.

Omaha, NE

Omaha, NE

Bellevue, NE
2003-03-26 → 2012-04-17

Td Ameritrade Investment Management, Llc

Bellevue, NE

Other Businesses

1) Antestari LLC - Yes, investment releated - 3761 Beartooth Loop, Spearfish, SD 57783 - Risk & compliance consulitng / expert witness - President - 08/2018 - 100hrs/mo - 90hrs/mo during trading hrs - Provide consulation, advice & materials to B/Ds & RIAs regarding management, risk & compliance matters. Serve as expert witness

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2002-12-12
S63	Uniform Securities Agent State Law Examination	1998-04-24

S65 Uniform Investment Adviser Law Examination

2002-12-12
S63 Uniform Securities Agent State Law Examination

1998-04-24

Other Names

Sara J Andres
Sara Marcy

View on SEC IAPD