Sagy Aseraf
Professional Summary
Sagy Aseraf is a registered financial advisor currently at IDB CAPITAL CORP. located in Aventura, Florida. Sagy is registered as a RR (Registered Representative) and started their career in finance in 2008. Sagy has worked at 1 firm and has passed the SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
17 years in the financial services industry
Current & Past Employments
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Current Firm
ALEXANDRA & JAMES CO. | IDB CAPITAL CORP. | IDB ASSET MANAGEMENT, A DIVISION OF IDB CAPITAL CORP. | ALEXANDRA & JAMES CO.
Contact Information
Main Address
1114 Avenue Of The Americas, New York, NY 10036Mailing Address
1114 Avenue Of The Americas, New York, NY 10036Phone Number
(212) 551-8800Established
New York since 09/11/2000Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (29 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ISRAEL DISCOUNT BANK OF NEW YORK | SOLE SHAREHOLDER | — |
| CASE, LESLIE KATHRYN | SECRETARY | 6058280 |
| CLANCY, PATRICIA ANNE | CHIEF OPERATING OFFICER, PRINCIPAL OPERATIONS OFFICER | 2753700 |
| FRAHER, NANCY ANN | DIRECTOR | 6132794 |
| GRANT, EDMOND F | DIRECTOR | 4058518 |
| KIM, EDWARD SANG | FINANCIAL AND OPERATIONS PRINCIPAL, PRINCIPAL FINANCIAL OFFICER | 6702617 |
| POLSHIKOV, ALEX ROSS | PRESIDENT, CHIEF EXECUTIVE OFFICER, AND INTERIM CHAIRMAN OF THE BOARD | 5118208 |
| ROBERTS, DANIEL G | DIRECTOR | 6986015 |
| TREBLE, TIMOTHY | CHIEF COMPLIANCE OFFICER AND DIRECTOR | 1699773 |
Disclosures
Regulatory Event
1Similar Advisors
OSAIC WEALTH, INC.
DAYMARK WEALTH PARTNERS, LLC
EQUITABLE ADVISORS, LLC
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(12/18/2008)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Sagy Aseraf's CRS (Customer Relationship Summary).
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