KS
Kristina L. Saperston
BRIGHTON SECURITIES
Hamburg, NY 14075
Some features on this profile are disabled
CRD#: 4403872
KS
Professional summary
Kristina Lynn Saperston, who also goes by Kristina Saperston Semple, is a registered financial advisor currently at BRIGHTON SECURITIES CORP. located in Hamburg, New York and SAPERSTON LEGACY ADVISORS, INC. located in Hamburg, New York.
Kristina is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Kristina has worked at 3 firms and has passed the Series 65, Series 63, Series 99TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kristina Saperston Semple
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.
CRS (Client Relationship Summary) - RIA
Click below to view Kristina Lynn Saperston's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kristina Lynn Saperston'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®
NoneExperience
Current
October 23, 2018 - Present
BRIGHTON SECURITIES CORP.
Office #1: 172 Lake Street, Hamburg, NY 14075Office #2: 1966 Hillview Street, Sarasota, FL 34239RIA
BD
CRD#: 3875
Hamburg, NY
Current
August 13, 2021 - Present
SAPERSTON LEGACY ADVISORS, INC.
Office #1: 172 Lake Street, Hamburg, NY 14075RIA
CRD#: 105849
Hamburg, NY
Current
October 4, 2018 - Present
BRIGHTON SECURITIES CORP.
Office #1: 172 Lake Street, Hamburg, NY 14075Office #2: 1966 Hillview Street, Sarasota, FL 34239RIA
BD
CRD#: 3875
Hamburg, NY
Past
September 26, 2016 - October 29, 2018
SAPERSTON ASSET MANAGEMENT, INC.
RIA
CRD#: 44379
SARASOTA, FL
Past
May 12, 2009 - October 29, 2018
SAPERSTON ASSET MANAGEMENT, INC.
BD
CRD#: 44379
SARASOTA, FL
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".
BRIGHTON SECURITIES CORP.
BRIGHTON FINANCIAL PLANNING | BRIGHTON SECURITIES CORP.
CRD#: 3875 / SEC#: 801-62276, 8-14599
RIA
Registered Investment Advisory firm - SEC (9/8/2003 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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
Arizona(1/8/2019)
RR
California(1/8/2019)
RR
Colorado(1/8/2019)
RR
Connecticut(1/8/2019)
RR
Florida(10/4/2018)
IAR
Florida(10/23/2018)
RR
Georgia(1/8/2019)
RR
Hawaii(1/8/2019)
RR
Illinois(1/8/2019)
RR
Maine(1/8/2019)
RR
Maryland(1/8/2019)
RR
Massachusetts(1/8/2019)
IAR
Minnesota(3/1/2023)
RR
Minnesota(1/5/2024)
RR
Missouri(1/8/2019)
RR
Nevada(1/5/2024)
RR
New Jersey(1/8/2019)
RR
New Mexico(1/8/2019)
RR
New York(10/4/2018)
IAR
New York(5/13/2021)
RR
North Carolina(1/8/2019)
RR
Ohio(1/8/2019)
IAR
Ohio(1/6/2024)
RR
Oregon(1/8/2019)
RR
Pennsylvania(1/8/2019)
RR
South Carolina(1/8/2019)
RR
Tennessee(1/8/2019)
RR
Texas(1/8/2019)
RR
Vermont(11/22/2019)
RR
Virginia(1/8/2019)
RR
Washington(1/8/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
BRIGHTON SECURITIES CORP.
BRIGHTON FINANCIAL PLANNING | BRIGHTON SECURITIES CORP.
CRD#: 3875 / SEC#: 801-62276, 8-14599
RIA
Registered Investment Advisory firm - SEC (9/8/2003 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1703 Monroe Avenue, Rochester, NY 14618
Mailing Address
1703 Monroe Avenue, Rochester, NY 14618-1487
Phone number
(585) 473-3590
Established
New York since 03/05/1969
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
35
SEC notice filing (21 States and Territories)
FINRA licenses (36 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,384 |
| AUM (Assets Under Management) | $ 986,154,864 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/02/2025 | ||
| 03/01/2024 | ||
| 03/20/2023 |
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
BRIGHTON SECURITIES CORP.
CRD#: 3875Hamburg, NY 14075TRUST BUT VERIFY
Monitor Kristina Saperston
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
