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Robert S. Sainato

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CRD#: 2289785
RS

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.

Robert Steven Sainato, who also goes by Bob Sainato, Robert Sainato, was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1993. Robert had worked at 9 firms and has passed the Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bob Sainato | Robert Sainato

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.

Blog Corner

CRS (Client Relationship Summary)

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

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

Past

August 10, 2011 - March 29, 2012

FOX CHASE CAPITAL PARTNERS, LLC

BD
CRD#: 104087
SPRINGFIELD, NJ
Past

October 22, 2009 - July 29, 2011

ADVISORS ASSET MANAGEMENT, INC.

BD
CRD#: 46727
NEW YORK, NY
Past

October 16, 2008 - September 30, 2009

GLEACHER & COMPANY SECURITIES, INC.

BD
CRD#: 298
NEW YORK, NY
Past

February 29, 2008 - October 17, 2008

BROADPOINT DESCAP

BD
CRD#: 14997
NEW YORK, NY
Past

February 18, 2003 - April 22, 2004

TCW FUNDS DISTRIBUTORS LLC

BD
CRD#: 16670
LOS ANGELES, CA
Past

July 1, 1998 - September 18, 2002

NATIONAL FINANCIAL SERVICES LLC

BD
CRD#: 13041
BOSTON, MA
Past

September 26, 1997 - May 28, 1998

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

BD
CRD#: 3466
NEW YORK, NY
Past

September 11, 1995 - February 11, 1997

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

July 20, 1994 - October 7, 1994

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

January 19, 1993 - October 6, 1993

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/7/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/24/1992
General Securities Representative Examination

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
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Contact information

Main Address
Mailing Address
Phone number
Established
New Jersey since 03/06/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

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

Disclosures

Regulatory Event3

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.

Company Information

FOX CHASE CAPITAL PARTNERS, LLC

CRD#: 104087

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