Adam B. Sappern
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Adam Brian Sappern was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 1987. Adam had worked at 6 firms and has passed the Series 65, Series 63, Series 6, Series 7, Series 3 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 24, 2018 - November 22, 2021
WINDSOR CREEK ADVISORS, LLC
January 7, 2005 - July 14, 2006
PRINCIPAL SECURITIES, INC.
October 12, 2000 - March 14, 2001
INSTINET, LLC
September 7, 1995 - November 16, 1998
SANTANDER INVESTMENT SECURITIES INC.
April 7, 1994 - August 14, 1995
SALOMON BROTHERS INC.
April 27, 1992 - March 30, 1994
LEHMAN BROTHERS INC.
November 25, 1987 - March 12, 1992
SALOMON BROTHERS INC.
State Registrations and Notice Filings
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Exams
Current Firm
WINDSOR CREEK ADVISORS, LLC
CRD#: 296933 / SEC#: 801-113635
Contact information
Red Flags
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