Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sara? Claim Your ProfileSara Jean Thompson is a financial advisor who has been working in the industry since 2008. Sara is currently registered with Fidelity Brokerage Services LLC and has been with the firm since 2011. Prior to that, Sara was also registered with Fidelity Investments Institutional Services Company, Inc.. Sara holds a Series 6, 7, 9, 10, 26, and 63 license, as well as a SIE certification.
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.
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KY
11/09/2011 - Present
Fidelity Brokerage Services LLC (COVINGTON KY)
KY
01/01/2008 - 11/16/2009
FIDELITY BROKERAGE SERVICES LLC (COVINGTON KY)
KY
06/06/2006 - 01/01/2008
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (COVINGTON KY)
BC
Issued 07/17/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/18/2014
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/11/2013
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 07/06/2007
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/02/2013
Series 7 - General Securities Representative Examination
BC
Issued 06/05/2006
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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