Sarah E. Taylor
Professional summary
Sarah E. Taylor, who also goes by Sarah Elizabeth Neal, Sarah Elizabeth Taylor, Sarah Taylor, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Covington, Kentucky and NATIONAL FINANCIAL SERVICES LLC located in Covington, Kentucky.
Sarah is registered as a RR (Registered Representative) and started their career in finance in 2011. Sarah has worked at 2 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Sarah E. Taylor's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 6, 2011 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 100 Magellan, Covington, KY 41015November 21, 2025 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: 100 Magellan Way, Covington, KY 41015State 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 99TO
Date: 10/8/2025
Operations Professional ExaminationBOX 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 |
| CREEDON, ADAM J | INTERIM CHIEF COMPLIANCE OFFICER | 5417517 |
| CRUPI, KAREN MICHELE | CHIEF LEGAL OFFICER | 2982229 |
| DYER, JANET MARIE | CHIEF COMPLIANCE OFFICER | 3186352 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| TESAURO, THOMAS JOHN | PRESIDENT | 1862532 |
| 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#: 13041Covington, KY 41015TRUST BUT VERIFY
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