Sarah F. Francis
Professional summary
Sarah F Francis, who also goes by Sarah Ford Francis, Sarah Francis, Sarah Ford Smith, Sarah Ford Sylva, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Merrimack, New Hampshire.
Sarah is registered as a RR (Registered Representative) and started their career in finance in 2011. Sarah has worked at 3 firms and has passed the Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Sarah F Francis's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 25, 2020 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: Two Contra Way, Merrimack, NH 03054November 27, 2020 - April 5, 2022
NATIONAL FINANCIAL SERVICES LLC
November 26, 2019 - April 5, 2022
FIDELITY DISTRIBUTORS COMPANY LLC
October 7, 2011 - January 23, 2014
FIDELITY BROKERAGE 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
Exams
Series 7TO
Date: 11/26/2019
General Securities Representative ExaminationFINRA
New York Stock Exchange
Current Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
Red Flags
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