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SF

Sara L. Faraday

MML INVESTORS SERVICES
SPRINGFIELD, MA 01111
Some features on this profile are disabled
CRD#: 5222727
SF

Professional summary

Sara Lyn Faraday is a registered financial professional currently at MML INVESTORS SERVICES, LLC located in Springfield, Massachusetts and MML STRATEGIC DISTRIBUTORS, LLC located in Springfield, Massachusetts.

Sara is registered as a RR (Registered Representative) and started their career in finance in 2009. Sara has worked at 10 firms and has passed the Series 99TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sara Lyn Faraday's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 14, 2016 - Present

MML INVESTORS SERVICES, LLC

Office #1: 1295 State Street, Springfield, MA 01111
RIA
BD
CRD#: 10409
SPRINGFIELD, MA
Current

August 16, 2018 - Present

MML STRATEGIC DISTRIBUTORS, LLC

Office #1: 1295 State Street, Springfield, MA 01111
BD
CRD#: 168638
SPRINGFIELD, MA
Current

August 16, 2018 - Present

MML DISTRIBUTORS, LLC

Office #1: 1295 State Street, Springfield, MA 01111
BD
CRD#: 38030
SPRINGFIELD, MA
Current

April 20, 2021 - Present

FLOURISH FINANCIAL LLC

Office #1: 1295 State Street, Springfield, MA 01111
BD
CRD#: 293019
Springfield, MA
Past

April 9, 2013 - August 27, 2015

VOYA FINANCIAL PARTNERS, LLC

BD
CRD#: 34815
WINDSOR, CT
Past

August 29, 2012 - March 25, 2013

METLIFE INVESTORS DISTRIBUTION COMPANY

BD
CRD#: 107622
NEW YORK CITY, NY
Past

July 21, 2009 - August 23, 2012

GLOBAL ATLANTIC DISTRIBUTORS, LLC

BD
CRD#: 8326
SIMSBURY, CT
Past

March 13, 2009 - August 23, 2012

TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.

BD
CRD#: 37819
HARTFORD, CT
Past

March 13, 2009 - August 23, 2012

HARTFORD FUNDS DISTRIBUTORS, LLC

BD
CRD#: 45995
WAYNE, PA
Past

March 13, 2009 - August 23, 2012

HIMCO DISTRIBUTION SERVICES COMPANY

BD
CRD#: 6604
HARTFORD, CT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/12/2009
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/13/2009
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FF
FLOURISH FINANCIAL LLC
FLOURISH FINANCIAL LLC | STONE RIDGE SECURITIES LLC

CRD#: 293019 / SEC#: , 8-70093

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
2 Park Avenue 11th Floor, New York, NY 10016
Mailing Address
2 Park Avenue 11th Floor, New York, NY 10016
Phone number
(833) 808-5700
Established
Delaware since 11/03/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FLOURISH HOLDING COMPANY LLCSOLE MEMBER
CRUIKSHANK, BENJAMIN EVERETTPRESIDENT5682701
LANE, MAXWELL KEITHCHIEF EXECUTIVE OFFICER6111790
MURRAY, KATECHIEF COMPLIANCE OFFICER, COUNSEL, SECRETARY4958654
RISPOLI, FRANK JOSEPHCHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER4364402

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.

Company Information

FLOURISH FINANCIAL LLC

CRD#: 293019Springfield, MA 01111

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