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Robert Steven Sainato

CRD# 2289785·Registered 1993 - 2012
Previously Registered: Being a previously registered professional could mean that Robert 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.

Professional Summary

Robert Steven Sainato, who also goes by Bob Sainato, Robert Sainato, was a registered financial advisor. Robert was a previously registered financial professional and started their career in finance 1993 - 2012. Robert had worked at 9 firms and has passed the Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Bob Sainato, Robert Sainato

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

33 years in the financial services industry

Current & Past Employments

FOX CHASE CAPITAL PARTNERS, LLC·CRD# 104087
BD
Springfield, NJ
August 10, 2011 - March 29, 2012
ADVISORS ASSET MANAGEMENT, INC.·CRD# 46727
BD
New York, NY
October 22, 2009 - July 29, 2011
GLEACHER & COMPANY SECURITIES, INC.·CRD# 298
BD
New York, NY
October 16, 2008 - September 30, 2009
BROADPOINT DESCAP·CRD# 14997
BD
New York, NY
February 29, 2008 - October 17, 2008
TCW FUNDS DISTRIBUTORS LLC·CRD# 16670
BD
Los Angeles, CA
February 18, 2003 - April 22, 2004
NATIONAL FINANCIAL SERVICES LLC·CRD# 13041
BD
Boston, MA
July 1, 1998 - September 18, 2002
GOLDMAN SACHS EXECUTION & CLEARING, L.P.·CRD# 3466
BD
New York, NY
September 26, 1997 - May 28, 1998
UBS SECURITIES LLC·CRD# 7654
BD
New York, NY
September 11, 1995 - February 11, 1997
CREDIT SUISSE SECURITIES (USA) LLC·CRD# 816
BD
New York, NY
July 20, 1994 - October 7, 1994
CREDIT SUISSE SECURITIES (USA) LLC·CRD# 816
BD
New York, NY
January 19, 1993 - October 6, 1993

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Current Firm

FC
FOX CHASE CAPITAL PARTNERS, LLC

FOX CHASE CAPITAL PARTNERS, LLC

CRD#: 104087 / SEC#: 8-52624
BD
Terminated by SEC on 12/24/2023

Contact Information

Established

New Jersey since 03/06/2000

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

Documents

Direct owners and executive officers

NamePositionCRD#
ROCKONKNV LLCDIRECT OWNER—
MANZO, MARK THOMASFINOP1229739
PERRETTI, VICTOR JRCEO711988
PERRETTI, VICTOR JRCCO711988

Disclosures

Regulatory Event

3

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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.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Mar 2008About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Dec 1992About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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