Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
Sarah Black
SARAH P BLACK, SARAH PAIGE BLACK, SARAH BLACK, SARAH P GRAY, SARAH PAIGE GRAY…
CRD#: 5617198
IA
Investment Adviser
B
Broker
AXIOM FINANCIAL STRATEGIES GROUP, LLCCRD#: 306618 101 W. SPRING STREET
5TH FLOOR
NEW ALBANY, IN 47150
LION STREET FINANCIAL, LLCCRD#: 165828 101 W SPRING STREET
5TH FLOOR
NEW ALBANY, IN 47150
Registration History
2010201220142016201820202022202420262 FIRMS2020 - Present (5 years)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2014 - 2019 (4 years)BSECURITIES AMERICA, INC. (CRD# 10205)2011 - 2014 (3 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)2010 - 2010 (<1 year)IAWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2016 - 2019 (2 years)
License(s)

State Registrations

IA
Indiana 2/24/2020
B
Indiana 10/12/2020

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
AXIOM FINANCIAL STRATEGIES GROUP, LLC (CRD#:306618)
101 W. SPRING STREET 5TH FLOOR, NEW ALBANY, IN 47150
Registered with this firm since 2/24/2020
B
LION STREET FINANCIAL, LLC (CRD#:165828)
101 W SPRING STREET 5TH FLOOR, NEW ALBANY, IN 47150
Registered with this firm since 10/12/2020
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 11/18/2016 - 01/25/2019 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) LOUISVILLE, KY
B
 10/07/2014 - 01/25/2019 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) LOUISVILLE, KY
B
 03/15/2011 - 07/14/2014 SECURITIES AMERICA, INC. (CRD#:10205) LOUISVILLE, KY
B
 10/20/2010 - 11/12/2010 CHARLES SCHWAB & CO., INC. (CRD#:5393) FISHERS (INDIANAPOLIS), IN
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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
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.