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Carrie A Sax

Ep Wealth Advisors

Berkeley, CA

Torrance, CA

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Current Employers
Ep Wealth Advisors

21535 Hawthorne Blvd Suite 400, Torrance, CA 90503 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2022-01-14
  • CA RA
    APPROVED
    Since 2022-01-14

Branch Locations

2150 Shattuck Avenue, Suite 700, Berkeley, CA 94704 • United States

21535 Hawthorne Blvd Suite 400, Torrance, CA 90503 • 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
Parsec Financial Management Inc. Asheville NC 09/2013 01/2018
Merrill Lynch, Pierce, Fenner & Smith Incorporated Walnut Creek CA 09/2018 08/2021
Parsec Financial Management Inc. Asheville NC 02/2018 08/2018
Bank Of America, N.A. Walnut Creek CA 10/2018 08/2021
Deyoe Wealth Management Dba Mindful Money Berkeley CA 11/2021 12/2021
Ep Wealth Advisors Torrance CA 12/2021 Present
  • 09/2013 → 01/2018
    Parsec Financial Management Inc.
    Asheville, NC
  • 09/2018 → 08/2021
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Walnut Creek, CA
  • 02/2018 → 08/2018
    Parsec Financial Management Inc.
    Asheville, NC
  • 10/2018 → 08/2021
    Bank Of America, N.A.
    Walnut Creek, CA
  • 11/2021 → 12/2021
    Deyoe Wealth Management Dba Mindful Money
    Berkeley, CA
  • 12/2021 → Present
    Ep Wealth Advisors
    Torrance, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-11-07
S63 Uniform Securities Agent State Law Examination 2009-04-09
  • S66 Uniform Combined State Law Examination
    2018-11-07
  • S63 Uniform Securities Agent State Law Examination
    2009-04-09
Designations
Other Names
  • Carrie Anne Tallman

View on SEC IAPD

Other Firms

BLUME CAPITAL MANAGEMENT, INC.
FUTURE FRONTIER CAPITAL, LLC
VOLEON CAPITAL MANAGEMENT LP
CITIGROUP GLOBAL MARKETS INC.
Z21 VENTURES MANAGEMENT COMPANY, LLC
STRATEGIC ADVISERS LLC
LPL FINANCIAL LLC
CHARLES SCHWAB & CO., INC.

Other Investors

JEFFREY VALENTINE ST. CLAIRE
PETER BRAY REIDENBACH
Samaya Patel
AMY STOEPLER THACHER
DARREN SCOTT TAGGART
Mark Lawrence Hortizuela Cortez
ASHLEY COONS
HAMED RASHIDPOUR

Other Offices

BLUME CAPITAL MANAGEMENT, INC. · BERKELEY, CA
FUTURE FRONTIER CAPITAL, LLC · BERKELEY, CA
VOLEON CAPITAL MANAGEMENT LP · BERKELEY, CA
CITIGROUP GLOBAL MARKETS INC. · Berkeley, CA
Z21 VENTURES MANAGEMENT COMPANY, LLC · BERKELEY, CA
STRATEGIC ADVISERS LLC · BERKELEY, CA
LPL FINANCIAL LLC · BERKELEY, CA
CHARLES SCHWAB & CO., INC. · Berkeley, CA

More in Berkeley, CA

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