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SS

Stephanie Sarno

CURVATURE SECURITIES LLC
Chatham, NJ 07928
Some features on this profile are disabled
CRD#: 4910197
SS

Professional summary

Stephanie Sarno is a registered financial professional currently at CURVATURE SECURITIES LLC located in Chatham, New Jersey.

Stephanie is registered as a RR (Registered Representative) and started their career in finance in 2010. Stephanie has worked at 3 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Stephanie Sarno'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®
None

Experience

Current

September 11, 2020 - Present

CURVATURE SECURITIES LLC

Office #1: 39 Main Street, Chatham, NJ 07928
BD
CRD#: 169708
Chatham, NJ
Past

January 2, 2015 - July 2, 2020

SG AMERICAS SECURITIES, LLC

BD
CRD#: 128351
NEW YORK, NY
Past

July 23, 2010 - January 2, 2015

NEWEDGE USA, LLC

BD
CRD#: 36118
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
California
(9/11/2020)
RR
New Jersey
(9/11/2020)
RR
New York
(9/11/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 12/9/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/22/2010
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/4/2021
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CS
CURVATURE SECURITIES LLC
CURVATURE SECURITIES LLC

CRD#: 169708 / SEC#: , 8-69384

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

Main Address
39 Main Street, Chatham, NJ 07928
Mailing Address
39 Main Street, Chatham, NJ 07928
Phone number
(908) 304-9200
Established
Delaware since 09/14/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
CURVATURE HOLDINGS LLCSOLE MEMBER
BODNER, CHAIM MPRESIDENT6892303
KAPLAN, HAROLD MFINOP1719693
PIGOTT, TODD MATTHEWCCO/AMLCO2592495
PIGOTT, WILLIAM TERRENCECEO/MANAGER/EXECUTIVE REPRESENTATIVE1546626

Disclosures

Regulatory Event1

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

CURVATURE SECURITIES LLC

CRD#: 169708Chatham, NJ 07928

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