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SS

Scott P. Sasse

AVATAR SECURITIES
New York, NY 10016
Some features on this profile are disabled
CRD#: 2743160
SS

Professional summary

Scott Peter Sasse is a registered financial professional currently at AVATAR SECURITIES, LLC located in New York, New York.

Scott is registered as a RR (Registered Representative) and started their career in finance in 1999. Scott has worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Scott Peter Sasse's CRS (Customer Relationship Summary).

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

Current

August 27, 2014 - Present

AVATAR SECURITIES, LLC

Office #1: 148 Madison Ave 5th Floor, New York, NY 10016
BD
CRD#: 147763
New York, NY
Past

March 8, 2013 - August 8, 2014

QUASAR TRADING, LLC

BD
CRD#: 151974
SAN JUAN, PR
Past

April 23, 2012 - March 20, 2013

HOLD BROTHERS CAPITAL LLC

BD
CRD#: 151864
NEW YORK, NY
Past

August 1, 2002 - October 11, 2012

TAFFERER TRADING, LLC

BD
CRD#: 36816
NEW YORK, NY
Past

October 18, 2001 - August 1, 2002

SKEFFINGTON SECURITIES, L.L.C.

BD
CRD#: 103700
JERSEY CITY, NJ
Past

April 16, 1999 - October 19, 2001

TAFFERER TRADING, LLC

BD
CRD#: 36816
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: 3/16/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 4/5/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 3/2/1999
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq PHLX LLC

Current Firm

AS
AVATAR SECURITIES, LLC
AVATAR SECURITIES, LLC

CRD#: 147763 / SEC#: , 8-67932

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
148 Madison Ave 5th Floor, New York, NY 10016
Mailing Address
148 Madison Ave 5th Floor, New York, NY 10016
Phone number
(212) 217-2800
Established
Delaware since 05/14/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
AVATAR TRADING GROUP, LLCHOLDING CO.
DEETER, MISHA BODHIMEMBER5132163
BROWSKI, ANDREW CHARLESCHIEF COMPLIANCE OFFICER/PRINCIPAL OPERATIONS OFFICER5778834
HOLLAND, RAYMOND FCO-MANAGING MEMBER5509397
KATHWARI, OMAR FAROOQCO-MANAGING MEMBER5509343
SLOAN NOWAK, JACQUELINE LEEFINOP/PRINCIPAL FINANCIAL OFFICER2717305

Disclosures

Regulatory Event1

Red Flags

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Company Information

AVATAR SECURITIES, LLC

CRD#: 147763New York, NY 10016

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