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Christopher Robert Sansone

CRD# 2361338·Registered 1995 - 2014
Previously Registered: Being a previously registered professional could mean that Christopher 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

Christopher Robert Sansone was a registered financial advisor. Christopher was a previously registered financial professional and started their career in finance 1995 - 2014. Christopher had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 86, Series 87, Series 55 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

There are no additional aliases reported.

Blog Corner

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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

31 years in the financial services industry

Current & Past Employments

ROBOTTI SECURITIES, LLC·CRD# 13251
BD
New York, NY
November 16, 2009 - November 14, 2014
ROBOTTI SECURITIES, LLC·CRD# 13251
BD
New York, NY
September 25, 2003 - June 1, 2009
UBS CAPITAL MARKETS L.P.·CRD# 2692
BD
Stamford, CT
June 16, 2003 - September 29, 2003
JEFFERIES LLC·CRD# 2347
BD
New York, NY
September 24, 2002 - June 13, 2003
HERZOG, HEINE, GEDULD, LLC·CRD# 2186
BD
New York, NY
April 14, 1999 - September 19, 2002
RENCAP SECURITIES, INC.·CRD# 37821
BD
New York, NY
July 3, 1997 - June 5, 1998
G.RESEARCH, LLC·CRD# 7353
BD
Rye, NY
April 18, 1995 - July 18, 1997

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Current Firm

RS
ROBOTTI SECURITIES, LLC

ROBOTTI & COMPANY, INCORPORATED | ROBOTTI SECURITIES, LLC | ROBOTTI & ENG, INCORPORATED | ROBOTTI & ENG, INC. | ROBOTTI & COMPANY, LLC

CRD#: 13251 / SEC#: 8-28886
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)

Contact Information

Main Address

125 Park Avenue, Suite 1607, New York, NY 10017

Mailing Address

125 Park Avenue, Suite 1607, New York, NY 10017

Phone Number

(212) 986-4800

Established

New York since 03/07/2003

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

FINRA licenses (31 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ROBOTTI & COMPANY, INCORPORATEDSTOCKHOLDER 100% OWNER OF APPLICANT—
KELLEHER, DENNIS MICHAELCHIEF COMPLIANCE OFFICER2107342
MCQUEENEY, DAVID VINCENTSROP, ROP2440806
MEVORAH, ERWIN ICFO, FIN/OP & SECRETARY1944735
ROBOTTI, ROBERT EDWARDPRESIDENT, CEO, GSP, TREASURER732905
ROBOTTI, SUZANNE BENSONDIRECTOR4616454
SEKLIR, NANCY ELIZABETHDIRECTOR1756843
WASIAK, KENNETH RONALDDIRECTOR1485703

Disclosures

Regulatory Event

2

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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 65 — Uniform Investment Adviser Law Examination

Passed Nov 2005About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Oct 1997About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Nov 2014About the SIE exam

Series 86 — Research Analyst Exam - Part I Analysis Module

Passed Dec 2005About the Series 86 exam

Series 87 — Research Analyst Exam - Part II Regulations Module

Passed Nov 2005About the Series 87 exam

Series 55 — Limited Representative-Equity Trader Exam

Passed May 1999

Series 7 — General Securities Representative Examination

Passed Apr 1995About 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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