CS
Christopher L. Sassone
DAVIE KAPLAN WEALTH CARE ADVISORS
ROCHESTER, NY 14618
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CRD#: 4386593
CS
Professional summary
Christopher L Sassone, CFP®, who also goes by Christopher Louis Sassone, is a registered financial advisor currently at DAVIE KAPLAN WEALTH CARE ADVISORS, LLC located in Rochester, New York and CETERA INVESTMENT ADVISERS LLC located in N. Chili, New York.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Christopher has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Christopher Louis Sassone
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) DAVIE KAPLAN WEALTH CARE ADVISORS, LLC (FORMERLY DKCB WEALTH CARE ADVISORS) POSITION: FINANCIAL ADVISOR, RIA NATURE: FINANCIAL SERVICES INVESTMENT RELATED: Yes NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 50 START DATE: 06/01/2009 ADDRESS: Rochester NY 14614 DESCRIPTION: We provide financial services to our clients 2) BRONSKY WEALTH MANAGEMENT POSITION: Financial Advisor NATURE: FINANCIAL SERVICES, INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 05/01/2017 ADDRESS: 6225 Sheridan Dr., Suite 222, Williamsville NY 14221 DESCRIPTION: SUPPORT LICENSED ADVISORS OF BRONSKY WEALTH MANAGEMENT; 3) DAVIE KAPLAN WEALTH CARE ADVISORS, LLC (INSURANCE) POSITION: AGENT NATURE: INSURANCE INVESTMENT RELATED: Yes NUMBER OF HOURS: null SECURITIES TRADING HOURS: null START DATE: 06/01/2009 ADDRESS: Rochester NY 14614 DESCRIPTION: ADVISOR - CONDUCTS INSURANCE SALES/REFERRALS 4) DAVIE KAPLAN WEALTH CARE ADVISORS, LLC (RIA) POSITION: Advisor NATURE: Financial Planning INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: ADDRESS: 1000 First Federal Plaza, Rochester NY 14614 DESCRIPTION: ADVISOR-FINANCIAL PLANNING 5) SMALL BUSINESS COUNCIL OF ROCHESTER POSITION: Committee Member NATURE: I am a member of the Cares Committee which does a number of community service charitable events around Rochester INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 12/01/2022 ADDRESS: 150 State St, Suite 400, Rochester NY 14614 DESCRIPTION: General committee member. Help with Thanksgiving Basket Appeal, Winter Hat and Glove Drive and School Supply Backpack Drive 6) SMALL BUSINESS COUNCIL OF ROCHESTER POSITION: Board Member NATURE: I have joined the board of the Small Business Council of Rochester as a Board member. This is primarily a networking and charitable fund raising organization INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 01/01/2023 ADDRESS: 150 State St,, Suite 400, Rochester NY 14614 DESCRIPTION: ambassador for the Small Business Council throughout the Rochester community Attend 75 percent of scheduled board meetings 7) PREMIER COMMUNITY RELATIONS; Board Member; A non-profit organization in NY dedicated to making a positive impact in our community. We specialize in raising funds and awareness for various charitable movements; NIR; HRS 2; HRS 0; 12/04/2023; 109 Jckrist Cir., Rochester NY 14606; Participate in monthly virtual meeting as a board member to weigh in on organization of annual charitable events and other business matters pertaining to the organization 8) SMALL BUSINESS COUNCIL OF ROCHESTER POSITION: Treasurer NATURE: I will be responsible for tracking and reporting activities and transactions that are made on behalf of the Small Business Council and providing a monthly report to the board on a monthly basis as to where we stand, as treasurer of the board. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 12/15/2023 ADDRESS: 250 S. Clinton Ave, C/O Greater Rochester Chamber of Commerce, Rochester NY 14604 DESCRIPTION: I will track the finances for the organization, but this role will not have check writing privileges. And will be administrative in nature only.
CRS (Client Relationship Summary) - RIA
Click below to view Christopher L Sassone'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®
CFP®
Start date: 2008
Experience
Current
June 22, 2021 - Present
DAVIE KAPLAN WEALTH CARE ADVISORS, LLC
Office #1: 100 Meridian Centre Blvd. Suite 200, Rochester, NY 14618RIA
CRD#: 140436
ROCHESTER, NY
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #2: 100 Meridian Centre Blvd Suite 200, Rochester, NY 14618RIA
CRD#: 105644
N. CHILI, NY
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 100 Meridian Centre Blvd Suite 200, Rochester, NY 14618BD
CRD#: 13572
ROCHESTER, NY
Past
October 24, 2023 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
N. CHILI, NY
Past
October 25, 2019 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
ROCHESTER, NY
Past
July 13, 2009 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
ROCHESTER, NY
Past
August 1, 2006 - June 19, 2009
OSAIC FA, INC.
BD
CRD#: 3978
ROCHESTER, NY
Past
December 1, 2004 - November 18, 2005
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
November 3, 2003 - November 16, 2004
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
November 3, 2003 - November 16, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
February 12, 2002 - November 3, 2003
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
DETROIT, MI
Past
January 4, 2002 - March 1, 2002
KIRLIN SECURITIES INC.
BD
CRD#: 21210
SYOSSET, NY
Past
June 18, 2001 - November 19, 2001
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(9/5/2025)
RR
Arizona(9/5/2025)
RR
California(9/5/2025)
RR
Colorado(9/5/2025)
RR
Connecticut(9/5/2025)
RR
Delaware(9/5/2025)
RR
District of Columbia(9/5/2025)
RR
Florida(9/5/2025)
RR
Georgia(9/5/2025)
RR
Hawaii(9/5/2025)
RR
Illinois(9/5/2025)
RR
Indiana(9/5/2025)
RR
Kentucky(9/5/2025)
RR
Maine(9/5/2025)
RR
Maryland(9/5/2025)
RR
Massachusetts(9/5/2025)
RR
Michigan(9/5/2025)
RR
Missouri(9/5/2025)
RR
Nevada(9/5/2025)
RR
New Hampshire(9/5/2025)
RR
New Jersey(9/5/2025)
RR
New Mexico(9/5/2025)
IAR
New York(6/22/2021)
RR
New York(9/5/2025)
RR
North Carolina(9/5/2025)
RR
Ohio(9/5/2025)
RR
Pennsylvania(9/5/2025)
RR
South Carolina(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Utah(9/5/2025)
RR
Vermont(9/5/2025)
RR
Virginia(9/5/2025)
RR
Washington(9/5/2025)
RR
Wisconsin(9/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Rochester, NY 14618TRUST BUT VERIFY
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