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Sara Ruth Warntz

Topsail Wealth Management LLC

Charlotte, NC

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Current Employers
Topsail Wealth Management Llc

10800 Sikes Place Suite 230, Charlotte, NC 28277 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2024-07-18
NC RA APPROVED 2024-07-12
SC RA APPROVED 2024-07-12
  • FL RA
    APPROVED
    Since 2024-07-18
  • NC RA
    APPROVED
    Since 2024-07-12
  • SC RA
    APPROVED
    Since 2024-07-12

Branch Locations

10800 Sikes Place Suite 230, Charlotte, NC 28277 • 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
OrganizationCityStateFromTo
The Vanguard Group, Inc. Charlotte NC 06/2012 10/2023
Independent Advisor Alliance Charlotte NC 10/2023 04/2024
Topsail Wealth Management Charlotte NC 04/2024 Present
  • 06/2012 → 10/2023
    The Vanguard Group, Inc.
    Charlotte, NC
  • 10/2023 → 04/2024
    Independent Advisor Alliance
    Charlotte, NC
  • 04/2024 → Present
    Topsail Wealth Management
    Charlotte, NC
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-11-20
S63 Uniform Securities Agent State Law Examination 2012-07-20
  • S65 Uniform Investment Adviser Law Examination
    2017-11-20
  • S63 Uniform Securities Agent State Law Examination
    2012-07-20
Designations
Other Names
  • Sara Ruth Novak
  • Sara Novak Warntz
  • Sara Ruth Novak

View on SEC IAPD

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