Sarah Margaret Westbrook

Employer firm

Act Securities, LLC CRD 297652

Reported services (Item 5G)

• SOLICIT CLIENTS FOR OTHER INVESTMENT ADVISORS

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2014 → 12/2018
  Founders Financial Securities Llc
  Towson, MD
• 09/2014 → 12/2018
  Captrust
  Raleigh, NC
• 01/2019 → 01/2020
  Maven Capital
  Charlotte, NC
• 01/2019 → 01/2020
  Morse Capital Parterns Llc
  Richmond, VA
• 01/2019 → 01/2020
  Hayden Royal
  Charlotte, NC
• 08/2019 → 01/2020
  G.L.S. & Associates, Inc.
  Charlotte, NC
• 01/2020 → Present
  Capfinancial Securities, Llc
  Raleigh, NC
• 01/2020 → Present
  Capfinancial Partners, Llc. (Captrust)
  Raleigh, NC
• 01/2020 → 12/2021
  Watchdog Capital, Llc
  Alpharetta, GA
• 04/2020 → Present
  Sherman & Company Llc
  Charlotte, NC
• 04/2020 → Present
  Advantage Securities
  Chicago, IL
• 01/2021 → Present
  Sable Capital Llc
  Charlotte, NC
• 04/2023 → 11/2023
  Gugu Securities, Inc.
  Alpharetta, GA
• 07/2024 → Present
  Sera Global Securities Us Llc
  Atlanta, GA
• 08/2025 → Present
  Act Securities, Llc
  Mercer Island, WA

Previous Registrations

• 2019-05-24 → 2020-02-19
  Hayden Royal
  Charlotte, NC
• 2014-01-16 → 2017-12-31
  Founders Financial Securities Llc
  Charlotte, NC
  Towson, MD
• 2011-08-31 → 2012-08-14
  Carolinas Investment Consulting Llc
  Charlotte, NC
  Charlotte, NC
• 2008-11-10 → 2009-12-03
  American Securities Group, Inc.
  Ridgeland, MS
  San Francisco, CA
  Anderson, SC
  Charlotte, NC
  Boca Raton, FL
  Greenville, SC
  Charlotte, NC
  Charlotte, NC
• 2007-11-07 → 2008-11-03
  Uvest Financial Services Group, Inc.
  Charlotte, NC
• 2006-09-11 → 2007-11-01
  Tca Financial Group, Llc
  Charlotte, NC
• 2004-01-28 → 2006-09-08
  Newport Group Securities, Inc.
  Lake Mary, FL
  Lake Mary, FL
  Charlotte, NC

Other Businesses

1. SECURITIES COMPLIANCE MANAGEMENT, INC. ("SCM") IS A COMPLIANCE CONSULTING COMPANY AND IS NOT INVESTMENT RELATED. TIME ALLOCATION IS APPROXIMATELY 40 HOURS/WEEK ON AVERAGE DURING MARKET TRADING HOURS ACROSS ALL RELATED ENTITIES. ADDRESS IS 6250 SHILOH RD., SUITE 30, ALPHARETTA, GEORGIA, 30005. START DATE IS 05/2015. TITLE IS CONSULTANT. MASTERCOMPLIANCE, LLC AND MASTERSUPERVISION, LLC ARE WHOLLY OWNED SUBSIDIARIES OF SCM THROUGH WHICH CONSULTING SERVICES ARE OFFERED TO CLIENTS. AS PART OF THE CONSULTING SERVICE, I MAY BECOME REGISTERED WITH OTHER B/Ds OR RIAs IN THE CAPACITY OF A REPRESENTATIVE OR SUPERVISOR. REFER TO FORM U4 FOR A LIST OF REGISTRATIONS HELD WITH VARIOUS FIRMS. 2. Name: Ardrey Homeowners Association, LLC, Address: private residence, Not Investment Related, Nature: Homeowners Association, Position/Title: President, Start: 01/01/2026, Hours/Month: 3, Hours during Market Hours: 0, Duties: volunteer, run monthly meetings

Exams

• S63 Uniform Securities Agent State Law Examination
  2004-05-21
• S65 Uniform Investment Adviser Law Examination
  2000-10-05

Other Names

• Sarah Margaret Mooney