Sara Braz
Professional summary
Sara Braz, who also goes by Sara Frances Braz, Sara Frances Storch, Sara Frances Storch, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Boston, Massachusetts and FIDELITY DISTRIBUTORS COMPANY LLC located in Boston, Massachusetts.
Sara is registered as a RR (Registered Representative) and started their career in finance in 2002. Sara has worked at 11 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Sara Braz's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 13, 2011 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 245 Summer Street, Boston, MA 02210September 25, 2020 - Present
FIDELITY DISTRIBUTORS COMPANY LLC
Office #1: 245 Summer Street, Boston, MA 02210November 24, 2020 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: 245 Summer Street, Boston, MA 02210May 20, 2011 - August 23, 2011
LPL FINANCIAL LLC
September 14, 2009 - October 6, 2010
APW CAPITAL, INC.
January 3, 2007 - August 31, 2009
WATERSTONE FINANCIAL GROUP, INC.
May 2, 2005 - June 20, 2006
BOFA ADVISORS, LLC
March 31, 2004 - April 28, 2005
COLUMBIA MANAGEMENT ADVISORS, INC.
June 17, 2003 - June 20, 2006
BOFA DISTRIBUTORS, INC.
September 12, 2002 - May 27, 2003
IDS LIFE INSURANCE COMPANY
September 12, 2002 - May 27, 2003
AMERIPRISE FINANCIAL SERVICES, 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
(1/3/2013)
(1/3/2013)
Exams
BOX Exchange LLC
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe C2 Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Investors' Exchange LLC
MEMX LLC
NYSE American LLC
NYSE Arca, Inc.
Nasdaq BX, Inc.
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041 / SEC#: 801-50706, 8-26740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | SOLE MEMBER | |
| ADAMS, ROBERT JOHN | CHIEF OPERATIONS OFFICER/ELECTED MANAGER | 1291582 |
| CRUPI, KAREN MICHELE | CHIEF LEGAL OFFICER | 2982229 |
| DEPOALO, RONALD EDWARD | PRESIDENT | 5995085 |
| DYER, JANET MARIE | CHIEF COMPLIANCE OFFICER | 3186352 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| TESAURO, THOMAS JOHN | ELECTED MANAGER | 1862532 |
Disclosures
| Regulatory Event | 47 |
| Civil Event | 1 |
| Arbitration | 14 |
Red Flags
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Company Information
NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041Boston, MA 02210TRUST BUT VERIFY
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