Adrian R. Sackett
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.
Adrian Russell Sackett was a registered financial professional .
Adrian is a previously registered financial professional and started their career in finance in 2000. Adrian had worked at 4 firms and has passed the Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 2, 2018 - October 26, 2021
RIVERSTONE CAPITAL SERVICES LLC
December 11, 2013 - April 13, 2018
LAZARD FRERES & CO. LLC
September 29, 2005 - October 16, 2013
UBS SECURITIES LLC
December 14, 2000 - February 14, 2002
SOUNDVIEW TECHNOLOGY CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 3/3/2024
General Securities Representative ExaminationCurrent Firm
RIVERSTONE CAPITAL SERVICES LLC
CRD#: 172056 / SEC#: , 8-69497
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RIVERSTONE EQUITY PARTNERS LP | PARENT | |
| ABBATE, CHRISTOPHER ANTHONY | CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER AND CHIEF OPERATING OFFICER | 2910866 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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