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Francesco Sarti

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CRD#: 4168001
FS

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.

Francesco Sarti, CFA, who also goes by Frank Sarti, was a registered financial professional .

Francesco is a previously registered financial professional and started their career in finance in 2000. Francesco had worked at 10 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Frank Sarti

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®
CFA

Chartered Financial Analyst

Experience

Past

September 16, 2020 - November 2, 2023

CHURCHILL CAPITAL USA, INC.

BD
CRD#: 143278
NEW YORK, NY
Past

March 26, 2018 - February 5, 2020

OLIVETREE FINANCIAL, LLC

BD
CRD#: 154026
NEW YORK, NY
Past

June 1, 2015 - February 26, 2018

R.W.PRESSPRICH & CO.

BD
CRD#: 26460
NEW YORK, NY
Past

August 20, 2014 - May 28, 2015

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BD
CRD#: 793
GREENWICH, CT
Past

October 16, 2013 - July 11, 2014

G-2 TRADING,LLC

BD
CRD#: 44018
NEW YORK, NY
Past

March 8, 2011 - June 20, 2013

CRT CAPITAL GROUP LLC

BD
CRD#: 28830
STAMFORD, CT
Past

December 3, 2008 - December 31, 2010

KELLOGG PARTNERS INSTITUTIONAL SERVICES LLC

BD
CRD#: 126935
NEW YORK, NY
Past

February 29, 2008 - April 18, 2008

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

July 14, 2006 - February 29, 2008

RBC CAPITAL MARKETS CORPORATION

BD
CRD#: 6579
NEW YORK, NY
Past

April 27, 2000 - December 13, 2004

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
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
IAR
Series 65
Date: 7/7/2001
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/5/2000
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: 3/10/2007
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 9/4/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/26/2000
Investment Company Products/Variable Contracts Representative Examination

Current Firm

CC
CHURCHILL CAPITAL USA, INC.
CHURCHILL CAPITAL USA, INC.

CRD#: 143278 / SEC#: , 8-67547

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

Main Address
10 East 53rd Street 17th Floor, New York, NY 10022
Mailing Address
10 East 53rd Street 17th Floor, New York, NY 10022
Phone number
(212) 994-4990
Established
New York since 08/28/2006
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (7 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
CHURCHILL CAPITAL LTD.OWNER
ALMERINI, LOUIS ACHILLEFINOP1605183
COHEN, RONENCHIEF EXECUTIVE OFFICER2814070
LANDAU, DANIELLECHIEF COMPLIANCE OFFICER4671417

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

CHURCHILL CAPITAL USA, INC.

CRD#: 143278

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