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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

SARA JANE ANDRES

Advisor at SHAREBUILDER 401K

SEATTLE, WA | Spearfish, SD

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 6:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Mar 26, 2003 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: SHAREBUILDER 401K
Current firm class: no raum reportedderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 24, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Apr 24, 1998
First registration: Mar 26, 2003
Dual registered: yes, broker-dealer
Other names: SARA J ANDRES|SARA MARCY
IAPD individual key: 2985300

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
SHAREBUILDER 401K	No RAUM reported	Jan 16, 2020	n/a	yes	Spearfish, SD\|SEATTLE, WA	Current employment
M HOLDINGS SECURITIES, INC.	Bd affiliated wealth	Jun 29, 2017	Jul 20, 2018	no	PORTLAND, OR\|PORTLAND, OR	Previous registration
CAPITAL ONE ADVISORS, LLC	Former SEC adviser	Sep 5, 2013	Feb 3, 2016	no	MCLEAN, VA	Previous registration
AMERITAS ADVISORY SERVICES	Former SEC adviser	Jul 20, 2012	Jul 31, 2013	no	LINCOLN, NE	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Apr 8, 2010	Apr 17, 2012	no	OMAHA, NE\|OMAHA, NE\|BELLEVUE, NE	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Mar 26, 2003	Apr 17, 2012	no	BELLEVUE, NE	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
M HOLDINGS SECURITIES, INC.	SHAREBUILDER 401K	Jul 20, 2018	Jan 16, 2020	545	Firm change after gap	Ibd to new firm
CAPITAL ONE ADVISORS, LLC	M HOLDINGS SECURITIES, INC.	Feb 3, 2016	Jun 29, 2017	512	Firm change after gap	Other
AMERITAS ADVISORY SERVICES	CAPITAL ONE ADVISORS, LLC	Jul 31, 2013	Sep 5, 2013	36	Firm change	Other
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	Apr 17, 2012	Apr 8, 2010	-740	Channel change	Other
TD AMERITRADE, INC.	AMERITAS ADVISORY SERVICES	Apr 17, 2012	Jul 20, 2012	94	Firm change	Other

Relationships

Registered with (6)

→ SHAREBUILDER 401KRegistered adviserregistration: current employment
Jan 16, 2020 to presentfactForm ADV
→ M HOLDINGS SECURITIES, INC.Registered adviserregistration: previous registration
Jun 29, 2017 to Jul 20, 2018factForm ADV
→ CAPITAL ONE ADVISORS, LLCRegistered adviserregistration: previous registration
Sep 5, 2013 to Feb 3, 2016factForm ADV
→ AMERITAS ADVISORY SERVICESRegistered adviserregistration: previous registration
Jul 20, 2012 to Jul 31, 2013factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Mar 26, 2003 to Apr 17, 2012factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Apr 8, 2010 to Apr 17, 2012factForm ADV

Dated events

No dated event names this entity yet.