Sarah Larsen
Securities Regulation and Compliance J.D.
Location: San Diego, California
Phone: (619) 696-9500 (Ext. 124)
Direct: (619) 546-5527
Fax: (800) 868-9350
Email: [email protected]
AREAS OF PRACTICE
- Regulatory Compliance Program Developement and Advisement
- SEC, FINRA, and State Regulatory Examinations and Investigations
- Form U4 and Form U5 Matters
- Advisement of Investment Advisers, Registered Persons
Sarah Larsen
Sarah Larsen advises clients and keeps current in the areas of Securities Regulation and Compliance. She works closely with partner Robert Boeche on regulatory, compliance, and transactional matters. Sarah started her career in financial compliance in 2022 at a San Diego based, SEC registered advisory firm. She continued her regulatory and compliance career with Principal Financial Group’s advisory firm, while also working closely with its affiliated broker-dealer. Sarah received her Bachelor of Arts from the University of Nevada, Reno before moving to San Diego to attend California Western School of Law where she graduated with a Juris Doctor.
Sarah is originally from Yuba City, California and in her free time enjoys hiking with her dog.
Education
- California Western School of Law, San Diego, California
- J.D., emphasis in Business Law, 2021
- University of Nevada, Reno, Nevada
- B.A, International Relations and Philosophy of Law, Ethics, and Politics, 2017
Honors & Awards
