Christopher S. Saponari
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.
Christopher Sheridan Saponari, who also goes by Chris Saponari, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2005. Christopher had worked at 4 firms and has passed the Series 63, 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
January 29, 2014 - September 30, 2016
ICA, LLC
September 22, 2008 - May 3, 2013
BARCLAYS CAPITAL INC.
August 8, 2006 - September 22, 2008
LEHMAN BROTHERS INC.
December 20, 2005 - August 4, 2006
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ICA, LLC
CRD#: 145235 / SEC#: , 8-67717
Contact information
FINRA licenses (7 States and Territories)
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.
