Sara Finkelstein
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Sara Finkelstein, who also goes by Sara Salomon, Sara Salomonlazevnick, was a registered financial advisor .
Sara is a previously registered financial advisor and started their career in finance in 1996. Sara had worked at 8 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 27, 2009 - February 9, 2009
NATCITY INVESTMENTS, INC.
May 15, 2001 - January 5, 2009
LYNN FINKELSTEIN & CO.,INC.
March 3, 2000 - April 30, 2001
LEGACY FINANCIAL SERVICES, INC.
October 13, 1998 - October 1, 1999
IFMG SECURITIES, INC.
August 19, 1998 - September 30, 1999
SOUTHTRUST SECURITIES, LLC
May 1, 1998 - August 21, 1998
WAMU INVESTMENTS, INC.
September 8, 1997 - May 1, 1998
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
September 25, 1996 - September 15, 1997
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
NATCITY INVESTMENTS, INC.
CRD#: 17490 / SEC#: , 8-35288
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE PNC FINANCIAL SERVICES GROUP, INC. | PARENT | |
| FABRIZI, SILVIO PAUL | CHIEF COMPLIANCE OFFICER | 4321545 |
| MCLAUGHLIN, CHARLOTTE BEHM | PRESIDENT AND CHIEF EXECUTIVE OFFICER - CAPITAL MARKETS | 2849217 |
| SINGER, DOUGLAS LAWRENCE | PRESIDENT AND CHIEF EXECUTIVE OFFICER - RETAIL | 1721973 |
| SUHANIC, JEFFREY DREW | SENIOR VICE PRESIDENT, DIRECTOR | 2124910 |
| TANNER, LEONARD EUGENE | VICE CHAIRMAN | 442470 |
| WILSON, CHARLENE FAITH | VICE PRESIDENT, CHIEF FINANCIAL OFFICER, AND TREASURER | 1935747 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
