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Clarice Crystal Saw

Clarice C. Saw

Some features on this profile are disabled
CRD#: 2633118
Clarice Crystal Saw

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.

Clarice Crystal Saw, who also goes by Chin Saw, Clarice Chin Saw, was a registered financial professional .

Clarice is a previously registered financial professional and started their career in finance in 1996. Clarice had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Biography

I am responsible for wealth management for clients at Cathay Wealth Management Cetera Investment Services. I have been in the financial/investment services industry since 1994, including four years at Metlife, fifteen years at Citigroup, four years at Astoria Bank, two years at Signature Securities and one year at Chase Insurance.
top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Chin Saw | Clarice Chin Saw

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.
(1) COASTAL INVESTMENT ADVISORS, INC.; 1201 N ORANGE ST STE 729 WILMINGTON, DE 19801; INVESTMENT ADVISOR REPRESENTATIVE; WWW.COASTAL-ONE.COM; INVESTMENT ADVISORY BUSINESS; COMPENSATION IN THE FORM OF COMMISSIONS; 40 HOURS PER WEEK DURING NORMAL TRADING HOURS. (2) BIJOUX BISTRO & BAKERY; 62 WHEELER AVENUE; PLEASANTVILLE, NY 10570; COFFEE SHOP/BAKERY; COMPENSATION OF $5,000 A MONTH FOR OVERSEEING THE BUSINESS; 10 HOURS PER WEEK DURING NORMAL TRADING HOURS.

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

Education

Hofstra

1991

Experience

Past

November 21, 2022 - August 1, 2023

REALTA EQUITIES, INC.

BD
CRD#: 23769
WILMINGTON, DE
Past

October 31, 2022 - August 1, 2023

REALTA INVESTMENT ADVISORS, INC

RIA
CRD#: 134952
PLEASANTVILLE, NY
Past

October 2, 2021 - June 30, 2022

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
FLUSHING, NY
Past

September 30, 2021 - June 30, 2022

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
FLUSHING, NY
Past

November 9, 2016 - September 28, 2021

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
NEW YORK, NY
Past

November 7, 2016 - September 28, 2021

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

December 3, 2012 - November 16, 2016

LPL FINANCIAL LLC

RIA
CRD#: 6413
ARDSLEY, NY
Past

November 30, 2012 - November 16, 2016

LPL FINANCIAL LLC

BD
CRD#: 6413
ARDSLEY, NY
Past

December 16, 2009 - January 9, 2012

FLAGSTAR ADVISORS

RIA
CRD#: 104233
NEW YORK, NY
Past

December 14, 2009 - January 9, 2012

FLAGSTAR ADVISORS

BD
CRD#: 104233
NEW YORK, NY
Past

May 29, 2007 - December 19, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
FLUSHING, NY
Past

May 29, 2007 - December 19, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
FLUSHING, NY
Past

December 6, 2004 - May 29, 2007

CITICORP INVESTMENT SERVICES

RIA
CRD#: 23988
FLUSHING, NY
Past

August 22, 2001 - May 29, 2007

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
FLUSHING, NY
Past

December 3, 1999 - September 20, 2000

ESSEX NATIONAL SECURITIES, LLC

BD
CRD#: 25454
NAPA, CA
Past

November 23, 1999 - August 22, 2001

LASALLE FINANCIAL SERVICES, INC.

BD
CRD#: 20373
CHICAGO, IL
Past

July 21, 1999 - November 29, 1999

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

July 21, 1999 - November 29, 1999

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA
Past

April 20, 1998 - June 1, 1999

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
CHICAGO, IL
Past

February 26, 1996 - April 7, 1998

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

February 26, 1996 - April 7, 1998

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA

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
IAR
Series 65
Date: 3/21/2004
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/23/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/18/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/23/1996
Investment Company Products/Variable Contracts Representative Examination

Current Firm

RE
REALTA EQUITIES, INC.
COASTAL EQUITIES, INC. | THE FALMOUTH FINANCIAL GROUP | REALTA WEALTH | REALTA EQUITIES, INC.

CRD#: 23769 / SEC#: , 8-40822

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
1201 N. Orange Street Suite 300, Wilmington, DE 92130
Mailing Address
1201 N. Orange Street Suite 729, Wilmington, DE 19801
Phone number
(888) 657-5200
Established
Massachusetts since 01/24/1989
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ORANGE STREET HOLDINGS, INC.SHAREHOLDER
BALTOVSKI, ALEXANDERFINOP OFFICER2350828
ODOM, AMY ENITHAML OFFICER2674773
PALMER, JACOB DANIELCHIEF COMPLIANCE OFFICER2309603
SCHULTZ, BARRETT OLIVERCHIEF OPERATIONS OFFICER2741114

Disclosures

Regulatory Event7

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

REALTA EQUITIES, INC.

Financial Advisor, Vice PresidentCRD#: 23769

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