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CS

Christine M. Sasaki

CARNES CAPITAL
NAPLES, FL 34108-7512
CRD#: 5235892
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CS
Christine Marie SasakiCARNES CAPITAL

Professional summary

Christine Marie Sasaki, who also goes by Christine Marie Marple, is a registered financial professional currently at CARNES CAPITAL CORPORATION located in Naples, Florida.

Christine is registered as a RR (Registered Representative) and started their career in finance in 2018. Christine has worked at 1 firm and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Christine Marie Marple

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 Christine Marie Sasaki's CRS (Customer Relationship Summary).
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

November 15, 2018 - Present

CARNES CAPITAL CORPORATION

Office #1: 8889 Pelican Bay Boulevard, Suite 500, Naples, FL 34108-7512
BD
CRD#: 16187
NAPLES, FL

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
Florida
(11/15/2018)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/13/2016
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/16/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/15/2018
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CC
CARNES CAPITAL CORPORATION
CARNES CAPITAL CORPORATION | PERKINS, SMITH INCORPORATED | MOUNT VERNON SECURITIES, INC.

CRD#: 16187 / SEC#: , 8-33443

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

Main Address
8889 Pelican Bay Boulevard, Suite 500, Naples, FL 34108-7512
Mailing Address
8889 Pelican Bay Boulevard, Suite 500, Naples, FL 34108-7512
Phone number
(239) 254-2500
Established
Florida since 10/05/1984
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (46 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PELICAN BAY HOLDINGS, LLCSOLE MEMBER
ATKINS, CHAD DAMERONGENERAL COUNSEL
CHEEVER, JOHN FRANCISFINOP/CFO/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER5066835
JANOYAN, JANO PANOSCHIEF EXECUTIVE OFFICER2627238
MORRISON, MICHAEL ROBERTCHIEF COMPLIANCE OFFICER5440888

Disclosures

Regulatory Event5

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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Company Information

CARNES CAPITAL CORPORATION

CRD#: 16187Naples, FL 34108-7512

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