Brandt A. Sakakeeny

ROCKINGSTONE ADVISORS

Harrison, NY 10528

Some features on this profile are disabled

CRD#: 1709197

Professional summary

Brandt Augustus Sakakeeny, who also goes by Brandt A Sakakeeny, is a registered financial advisor currently at ROCKINGSTONE ADVISORS located in Harrison, New York.

Brandt is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Brandt has worked at 4 firms and has passed the Series 66, Series 63, Series 87, Series 86 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brandt A Sakakeeny

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Business: Wake Forest College Board of Visitors, 1 hour per month. Investment Related: No Address: Wake Forest University, Winston-Salem, NC 27109 Nature of business: University Position: Board Member Start Date: 5/21 Hours: 1 hour per month Business: Bonnie Briar Country Club Investment Related: No Address: 808 Weaver Street, Larchmont, NY 10538 Nature of business: Country Club Position: Board Member, Executive Committee and Treasurer Start Date: 5/22 Hours: 5 hours per month Business: Seasage Properties LLC Investment Related: Yes Address: 414 Seasage Drive, Delray Beach, FL 33483 Nature of business: real estate investment Position: Member Start Date: 4/18 Hours: 2 hours per month Business: Balmoral Unit 4 LLC Investment Related: Yes Address: 414 Seasage Drive, Delray Beach, FL 33483 Nature of business: real estate investment Position: Member Start Date: 6/21 Hours: 0.5 hours per month

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brandt Augustus Sakakeeny's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 23, 2020 - Present

ROCKINGSTONE ADVISORS

Office #1: 600 Mamaroneck Ave Ste 400, Harrison, NY 10528

RIA

CRD#: 149592

Harrison, NY

Past

September 30, 2016 - December 31, 2018

ROCKINGSTONE ADVISORS

RIA

CRD#: 149592

NEW YORK, NY

Past

November 17, 2009 - July 22, 2015

ROCKINGSTONE ADVISORS

RIA

CRD#: 149592

HARRISON, NY

Past

May 19, 2000 - December 31, 2008

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

November 28, 1997 - September 1, 1998

SALOMON BROTHERS INC.

CRD#: 740

NEW YORK, NY

Past

August 29, 1995 - May 18, 2000

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ROCKINGSTONE ADVISORS

ROCKINGSTONE ADVISORS | ROCKINGSTONE ADVISORS LLC

CRD#: 149592 / SEC#: 801-77696

RIA

Registered Investment Advisory firm - (3/5/2013 Approved)

Florida

Registered Investment Advisory firm - (7/22/2015 Terminated)

New York

Registered Investment Advisory firm - (7/15/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(4/24/2024)

IAR

Massachusetts
(3/23/2020)

IAR

New York
(2/19/2023)

IAR

Texas
(3/20/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/10/2009

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/30/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 87

Date: 1/24/2005

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 86

Date: 12/13/2004

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 7

Date: 8/28/1995

General Securities Representative Examination

Current Firm

ROCKINGSTONE ADVISORS

ROCKINGSTONE ADVISORS | ROCKINGSTONE ADVISORS LLC

CRD#: 149592 / SEC#: 801-77696

RIA

Registered Investment Advisory firm - (3/5/2013 Approved)

Florida

Registered Investment Advisory firm - (7/22/2015 Terminated)

New York

Registered Investment Advisory firm - (7/15/2015 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

292 Main Street Suite 32, Great Barrington, MA 01230

Mailing Address

Phone number

(212) 430-2240

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ROCKINGSTONE ADVISORS ADV PART 2A DATED 2025.02.20 (2/19/2025)

Regulatory assets under management

Total Number of Accounts	232
AUM (Assets Under Management)	$ 285,789,462

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Anita Srivastava

MORGAN STANLEY

IAR

Paramus, NJ

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Brandt A. Sakakeeny

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brandt Augustus Sakakeeny's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROCKINGSTONE ADVISORS

ROCKINGSTONE ADVISORS

DEUTSCHE BANK SECURITIES INC.

SALOMON BROTHERS INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

ROCKINGSTONE ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 2/10/2009

Series 63

Date: 5/30/2000

Series 87

Date: 1/24/2005

Series 86

Date: 12/13/2004

Series 7

Date: 8/28/1995

Current Firm

ROCKINGSTONE ADVISORS

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ROCKINGSTONE ADVISORS

TRUST BUT VERIFY

Similar Advisors