Sara E. Norman
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 Elizabeth Norman, who also goes by Sara Elizabeth Baker, was a registered financial professional .
Sara is a previously registered financial professional and started their career in finance in 2004. Sara had worked at 6 firms and has passed the Series 63, SIE, Series 3, Series 55 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
July 14, 2014 - July 7, 2016
NATIONAL FINANCIAL SERVICES LLC
July 8, 2014 - July 10, 2014
FIDELITY BROKERAGE SERVICES LLC
April 1, 2013 - April 28, 2014
WELLS FARGO SECURITIES, LLC
September 2, 2008 - December 31, 2012
VIRTU ITG LLC
January 14, 2005 - August 7, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 13, 2005 - August 7, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 5, 2004 - January 3, 2005
CANTOR FITZGERALD & CO.
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
Series 55
Date: 7/18/2006
Limited Representative-Equity Trader ExamCurrent 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
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.
