A Smarter Strategy for Independence

Sarah Pais – Director of Compliance & Operations

sarah.pais@lpl.com
972-421-1342

Sarah started her career in financial services in 2006 as a Field Compliance Supervisor for Ameriprise Financial, where she was responsible for the supervision of up to 75 financial advisors and their staff. She was quickly promoted to Regional Risk Supervisor. Her primary focus was training Branch Managers on their compliance responsibilities, advisor training and education, and risk mitigation. In 2013, she moved to RBC Wealth Management where she managed 55 Client Associates, new advisor onboarding, and operations for a $60 million dollar complex. In just under 3 years, she facilitated the onboarding of over $600 million in advisor assets.

She joined 360 Wealth Management, LLC in 2015 and is thrilled to be combining her compliance and operations knowledge with the freedom of the independent channel. She specializes in project management and organizational structure.

Sarah holds FINRA Series 4,7, 24, and 53 registrations with LPL Financial and her Series 66 with both LPL Financial and 360 Wealth Management LLC. She is graduate of Baylor University and extremely passionate about their football team. She is also active with Equest and Big Brothers Big Sisters of North Texas.

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