Karen L. Saperston
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.
Karen Leber Saperston was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 1989. Karen had worked at 6 firms and has passed the Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 10, Series 9, Series 53, Series 24, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 3, 2018 - December 31, 2025
BRIGHTON SECURITIES CORP.
February 20, 1998 - December 31, 2018
SAPERSTON ASSET MANAGEMENT, INC.
October 2, 1997 - February 18, 1998
LASALLE ST SECURITIES, L.L.C.
February 20, 1991 - October 16, 1997
SAPERSTON FINANCIAL INC.
November 13, 1989 - February 21, 1991
FIRST MONTAUK SECURITIES CORP.
July 18, 1989 - January 30, 1990
ADVEST, INC.
Primary Firm SEC Registration
BRIGHTON SECURITIES CORP.
CRD#: 3875 / SEC#: 801-62276, 8-14599
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 8
Date: 10/26/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BRIGHTON SECURITIES CORP.
CRD#: 3875 / SEC#: 801-62276, 8-14599
Contact information
SEC notice filing (21 States and Territories)
FINRA licenses (39 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,384 |
| AUM (Assets Under Management) | $ 986,154,864 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/02/2026 | ||
| 01/02/2025 | ||
| 03/01/2024 | ||
| 03/20/2023 |
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.
