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Sarah Riley Headrick

Legend Private Wealth, LLC

Charlotte, NC

Waxhaw, NC

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Current Employers
Legend Private Wealth, Llc

15720 Brixham Hill Avenue Suite 300, Charlotte, NC 28277 • United States

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2025-07-28
IL RA APPROVED 2025-06-12
NC RA APPROVED 2025-06-12
TX RA APPROVED 2025-06-12
  • OH RA
    APPROVED
    Since 2025-07-28
  • IL RA
    APPROVED
    Since 2025-06-12
  • NC RA
    APPROVED
    Since 2025-06-12
  • TX RA
    APPROVED
    Since 2025-06-12

Branch Locations

15720 Brixham Hill Avenue Suite 300, Charlotte, NC 28277 • United States

Waxhaw, NC • 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
Northwestern Mutual Investment Services Llc Charlotte NC 10/2016 05/2020
Brian Headrick Charlotte NC 12/2014 05/2020
Richard Worrell Llc Charlotte NC 08/2016 05/2020
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2017 05/2020
Legend Private Wealth, Llc Charlotte NC 06/2020 Present
  • 10/2016 → 05/2020
    Northwestern Mutual Investment Services Llc
    Charlotte, NC
  • 12/2014 → 05/2020
    Brian Headrick
    Charlotte, NC
  • 08/2016 → 05/2020
    Richard Worrell Llc
    Charlotte, NC
  • 01/2017 → 05/2020
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
  • 06/2020 → Present
    Legend Private Wealth, Llc
    Charlotte, NC
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2025-06-10
S63 Uniform Securities Agent State Law Examination 2016-11-15
  • S65 Uniform Investment Adviser Law Examination
    2025-06-10
  • S63 Uniform Securities Agent State Law Examination
    2016-11-15
Other Names
  • Sarah Riley
  • Sarah Riley Headrick

View on SEC IAPD

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