Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sara? Claim Your ProfileSara Braz is a financial advisor with over 20 years of experience in the industry. Sara holds the Series 7, Series 24 and Series 66 licenses. Sara has been registered with National Financial Services LLC and Fidelity Distributors Co. LLC since 2020. Sara is currently registered in Massachusetts and Rhode Island. Sara was previously registered with LPL Financial LLC, Comprehensive Asset Management and Servicing, Inc., Waterstone Financial Group, Inc., Columbia Management Distributors, Inc., American Express Financial Advisors Inc. and IDS Life Insurance Company. Sara is a financial advisor with a strong background in the financial services industry. Sara is dedicated to providing clients with personalized financial advice and guidance.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
1
2
RI
11/24/2020 - Present
National Financial Services LLC (SMITHFIELD RI)
IL
05/20/2011 - 08/23/2011
LPL FINANCIAL LLC (NORTHBROOK IL)
NJ
09/14/2009 - 10/06/2010
COMPREHENSIVE ASSET MANAGEMENT AND SERVICING, INC. (ROCKAWAY NJ)
IL
01/03/2007 - 08/31/2009
WATERSTONE FINANCIAL GROUP, INC. (CHICAGO IL)
MA
06/17/2003 - 06/20/2006
COLUMBIA MANAGEMENT DISTRIBUTORS, INC. (BOSTON MA)
MN
09/12/2002 - 05/27/2003
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
09/12/2002 - 05/27/2003
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BOTH
Issued 03/14/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/24/2020
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/10/2002
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
M
MEMX LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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