Sarah Alexander Censured Following Alleged Broker Misconduct

Sarah Alexander (CRD #: 7669547), a registered broker and investment adviser representative with Fidelity, allegedly took and shared photos that contained confidential client information with unauthorized individuals. This disclosure appears on her BrokerCheck record, accessed on December 19, 2025. Keep reading if you have questions regarding her alleged conduct.

Regulatory Allegations

On October 16, 2025, the Colorado Division of Securities issued a final regulatory order that censured Sarah Alexander. The order says she allegedly took at least six photos of her workstation, with at least four showing confidential client information on her monitor. She allegedly shared those photos with at least two unauthorized individuals. The regulator also found she allegedly engaged in dishonest and unethical conduct by disclosing client identities and information.

High Standards of Commercial Honor

FINRA Rule 2010 requires brokers to uphold high standards of commercial honor and just and equitable principles of trade. 

Regulation S-P

Regulation S-P requires firms to provide disclosures to clients before sharing their private information with unaffiliated third parties.

Background Information

Sarah Alexander has passed the following exams:

• SIE — Securities Industry Essentials Examination

• Series 7 General Securities Representative Examination

• Series 6 Investment Company Products/Variable Contracts Representative Examination

• Series 66 Uniform Combined State Law Examination

Sarah Alexander is a registered broker in Arizona and Colorado.

Sarah Alexander has registered with the following firms:

• Key Investment Services LLC (CRD#: 136300)
• Fidelity Personal and Workplace Advisors (CRD#: 288590)
• Fidelity Brokerage Services LLC (CRD#: 7784)

Kurta Law Can Help 

If you have worked with Sarah Alexander and have concerns about your investments, don’t hesitate to contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.