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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

SARAH MARGARET WESTBROOK

Advisor at CAPTRUST

CHARLOTTE, NC | Charlotte, NC

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Search this name across graphsid dfx:ria:bf07ddf2-8184-ca35-de97-aefdf9054983

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:37 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 0
Observed: Jan 28, 2004 to Sep 15, 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: CAPTRUST
Current firm class: institutional managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 5, 2000earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 2
Registered states: 2
Exams: S63|S65
First exam: Oct 5, 2000
First registration: Jan 28, 2004
Dual registered: yes, broker-dealer
Other names: SARAH MARGARET MOONEY
IAPD individual key: 4751500

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
ACT SECURITIES, LLC	State registered	Sep 5, 2025	n/a	yes	Charlotte, NC	Current employment
Captrust	Institutional manager	Jan 29, 2020	n/a	yes	CHARLOTTE, NC	Current employment
HAYDEN ROYAL	Former SEC adviser	May 24, 2019	Feb 19, 2020	no	Charlotte, NC	Previous registration
FOUNDERS FINANCIAL SECURITIES, LLC	Independent wealth	Jan 16, 2014	Dec 31, 2017	no	CHARLOTTE, NC\|TOWSON, MD	Previous registration
CAROLINAS INVESTMENT CONSULTING LLC	Former SEC adviser	Aug 31, 2011	Aug 14, 2012	no	CHARLOTTE, NC\|CHARLOTTE, NC	Previous registration
AMERICAN SECURITIES GROUP, INC.	n/a	Nov 10, 2008	Dec 3, 2009	no	RIDGELAND, MS\|SAN FRANCISCO, CA\|ANDERSON, SC\|CHARLOTTE, NC\|BOCA RATON, FL\|GREENVILLE, SC\|CHARLOTTE, NC\|CHARLOTTE, NC	Previous registration
UVEST FINANCIAL SERVICES GROUP, INC.	n/a	Nov 7, 2007	Nov 3, 2008	no	CHARLOTTE, NC	Previous registration
TCA FINANCIAL GROUP, LLC	n/a	Sep 11, 2006	Nov 1, 2007	no	CHARLOTTE, NC	Previous registration
NEWPORT GROUP SECURITIES, INC.	Former SEC adviser	Jan 28, 2004	Sep 8, 2006	no	LAKE MARY, FL\|Lake Mary, FL\|CHARLOTTE, NC	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
HAYDEN ROYAL	Captrust	Feb 19, 2020	Jan 29, 2020	-21	Firm change	Other
FOUNDERS FINANCIAL SECURITIES, LLC	HAYDEN ROYAL	Dec 31, 2017	May 24, 2019	509	Firm change after gap	Other
CAROLINAS INVESTMENT CONSULTING LLC	FOUNDERS FINANCIAL SECURITIES, LLC	Aug 14, 2012	Jan 16, 2014	520	Firm change after gap	Other
AMERICAN SECURITIES GROUP, INC.	CAROLINAS INVESTMENT CONSULTING LLC	Dec 3, 2009	Aug 31, 2011	636	Firm change after gap	Other
UVEST FINANCIAL SERVICES GROUP, INC.	AMERICAN SECURITIES GROUP, INC.	Nov 3, 2008	Nov 10, 2008	7	Firm change	Other
TCA FINANCIAL GROUP, LLC	UVEST FINANCIAL SERVICES GROUP, INC.	Nov 1, 2007	Nov 7, 2007	6	Firm change	Other
NEWPORT GROUP SECURITIES, INC.	TCA FINANCIAL GROUP, LLC	Sep 8, 2006	Sep 11, 2006	3	Firm change	Other

Relationships

Registered with (9)

→ ACT SECURITIES, LLCRegistered adviserregistration: current employment
Sep 5, 2025 to presentfactForm ADV
→ CAPTRUSTRegistered adviserregistration: current employment
Jan 29, 2020 to presentfactForm ADV
→ HAYDEN ROYALRegistered adviserregistration: previous registration
May 24, 2019 to Feb 19, 2020factForm ADV
→ FOUNDERS FINANCIAL SECURITIES, LLCRegistered adviserregistration: previous registration
Jan 16, 2014 to Dec 31, 2017factForm ADV
→ CAROLINAS INVESTMENT CONSULTING LLCRegistered adviserregistration: previous registration
Aug 31, 2011 to Aug 14, 2012factForm ADV
→ AMERICAN SECURITIES GROUP, INC.Registered adviserregistration: previous registration
Nov 10, 2008 to Dec 3, 2009factForm ADV
→ UVEST FINANCIAL SERVICES GROUP, INC.Registered adviserregistration: previous registration
Nov 7, 2007 to Nov 3, 2008factForm ADV
→ TCA FINANCIAL GROUP, LLCRegistered adviserregistration: previous registration
Sep 11, 2006 to Nov 1, 2007factForm ADV
→ NEWPORT GROUP SECURITIES, INC.Registered adviserregistration: previous registration
Jan 28, 2004 to Sep 8, 2006factForm ADV

Dated events

No dated event names this entity yet.