SC
Sara K. Caldwell
FIDELITY BROKERAGE SERVICES LLC
Covington, KY 41015
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CRD#: 7527335
SC
Professional summary
Sara Katherine Caldwell, who also goes by Sara Katherine Caldwell, Sara Caldwell, Sara Mankovich, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Covington, Kentucky and NATIONAL FINANCIAL SERVICES LLC located in Covington, Kentucky.
Sara is registered as a RR (Registered Representative) and started their career in finance in 2022. Sara has worked at 2 firms and has passed the Series 63, Series 7TO, SIE, Series 9 and Series 10 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Sara Katherine Caldwell | Sara Caldwell | Sara Mankovich
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.
CRS (Client Relationship Summary) - BD
Click below to view Sara Katherine Caldwell's 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®
NoneExperience
Current
August 2, 2022 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 100 Howe Drive, Covington, KY 41015BD
CRD#: 7784
Covington, KY
Current
February 20, 2026 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: 100 Crosby Parkway, Covington, KY 41015BD
CRD#: 13041
Covington, KY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(11/4/2022)
RR
Alaska(11/4/2022)
RR
Arizona(11/4/2022)
RR
Arkansas(11/4/2022)
RR
California(11/4/2022)
RR
Colorado(11/4/2022)
RR
Connecticut(11/4/2022)
RR
Delaware(11/4/2022)
RR
District of Columbia(11/4/2022)
RR
Florida(11/4/2022)
RR
Georgia(11/4/2022)
RR
Hawaii(11/4/2022)
RR
Idaho(11/4/2022)
RR
Illinois(11/4/2022)
RR
Indiana(11/4/2022)
RR
Iowa(11/4/2022)
RR
Kansas(11/4/2022)
RR
Kentucky(9/12/2022)
RR
Louisiana(11/4/2022)
RR
Maine(11/4/2022)
RR
Maryland(11/4/2022)
RR
Massachusetts(11/4/2022)
RR
Michigan(11/4/2022)
RR
Minnesota(11/4/2022)
RR
Mississippi(11/4/2022)
RR
Missouri(11/4/2022)
RR
Montana(11/4/2022)
RR
Nebraska(11/4/2022)
RR
Nevada(11/4/2022)
RR
New Hampshire(11/4/2022)
RR
New Jersey(11/4/2022)
RR
New Mexico(11/4/2022)
RR
New York(11/4/2022)
RR
North Carolina(11/4/2022)
RR
North Dakota(1/6/2023)
RR
Ohio(11/7/2022)
RR
Oklahoma(11/4/2022)
RR
Oregon(11/4/2022)
RR
Pennsylvania(11/4/2022)
RR
Puerto Rico(1/6/2023)
RR
Rhode Island(11/4/2022)
RR
South Carolina(11/4/2022)
RR
South Dakota(1/6/2023)
RR
Tennessee(1/6/2023)
RR
Texas(11/4/2022)
RR
Utah(11/4/2022)
RR
Vermont(11/4/2022)
RR
Virgin Islands(1/6/2023)
RR
Virginia(11/4/2022)
RR
Washington(11/4/2022)
RR
West Virginia(11/4/2022)
RR
Wisconsin(11/4/2022)
RR
Wyoming(11/4/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/2/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
NF
NATIONAL FINANCIAL SERVICES LLC
NATIONAL FINANCIAL SERVICES CORPORATION | NATIONAL FINANCIAL SERVICES, LLC | NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041 / SEC#: 801-50706, 8-26740
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
245 Summer Street Mail Zone Z2h, Boston, MA 02210
Mailing Address
Two Destiny Way Mail Zone: Wg3d, Westlake, TX 76262
Phone number
(617) 563-7000
Established
Delaware since 06/08/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
2,100
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
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
NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041Covington, KY 41015TRUST BUT VERIFY
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