Sara L. Hana
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 Lee Hana, who also goes by Sara L Hana, Sara Lee Hana Smith, was a registered financial professional .
Sara is a previously registered financial professional and started their career in finance in 2011. Sara had worked at 7 firms and has passed the Series 66, SIE 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
August 22, 2014 - April 1, 2015
NATIONAL FINANCIAL SERVICES LLC
August 20, 2013 - August 12, 2014
STRATEGIC ADVISERS LLC
July 19, 2013 - August 11, 2014
FIDELITY BROKERAGE SERVICES LLC
April 10, 2013 - July 10, 2013
STIFEL, NICOLAUS & COMPANY, INCORPORATED
April 10, 2013 - July 10, 2013
STIFEL, NICOLAUS & COMPANY, INCORPORATED
August 1, 2012 - May 22, 2013
IVY WEALTH MANAGEMENT, INC.
August 1, 2012 - December 20, 2012
PURSHE KAPLAN STERLING INVESTMENTS
October 17, 2011 - August 9, 2012
LPL FINANCIAL LLC
June 7, 2011 - August 9, 2012
LPL FINANCIAL 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
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.
