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SARAH BETH FULLER
SARAH B FULLER
CRD#: 1799565
IA
B
COMMONWEALTH FINANCIAL NETWORKCRD#: 8032 ONE UNIVERSITY OFFICE PARK
29 & 95 SAWYER ROAD
WALTHAM, MA 02453
29 & 95 SAWYER ROAD
WALTHAM, MA 02453
0
Disclosures
36
Years of Experience
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State Registrations
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California 3/31/2025
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Pennsylvania 3/31/2025
B
Florida 3/31/2025
B
Rhode Island 3/31/2025
B
Georgia 3/31/2025
B
South Carolina 3/31/2025
B
Maryland 3/31/2025
B
Tennessee 3/31/2025
B
Michigan 3/31/2025
B
Texas 3/31/2025
B
New York 3/31/2025
B
Vermont 3/31/2025
IA
New York 3/31/2025
B
Virginia 3/31/2025
B
North Carolina 4/9/2025
SRO Registrations
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View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 3/31/2025
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Registered with this firm since 3/31/2025
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/11/2024 - 04/02/2025 | ROCHESTER, NY | |
B | 10/11/2024 - 04/02/2025 | ROCHESTER, NY | |
IA | 12/13/2010 - 10/11/2024 | HOLBROOK, NY | |
B | 12/10/2010 - 10/11/2024 | ROCHESTER, NY | |
IA | 06/01/2005 - 12/17/2010 | ROCHESTER, NY | |
B | 06/01/2005 - 12/17/2010 | ROCHESTER, NY | |
IA | 01/27/2004 - 06/01/2005 | ROCHESTER, NY | |
B | 04/02/1996 - 06/01/2005 | NEW YORK, NY | |
B | 06/13/2000 - 12/02/2003 | NEW YORK, NY | |
B | 01/03/1995 - 03/15/1996 | ROCHESTER, NY | |
B | 03/10/1994 - 08/31/1994 | HARTFORD, CT | |
B | 02/24/1992 - 11/24/1993 | NEWARK, DE | |
B | 04/22/1989 - 12/09/1991 | NEW YORK, NY | |
B | 02/08/1988 - 04/03/1989 |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.