SS
Stephen A. Saeta
FORGE SECURITIES LLC
San Francisco, CA 94111
Some features on this profile are disabled
CRD#: 6248298
SS
Professional summary
Stephen Andrew Saeta, who also goes by Andrew Saeta, is a registered financial professional currently at FORGE SECURITIES LLC located in San Francisco, California.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 2013. Stephen has worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Andrew Saeta
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) - BD
Click below to view Stephen Andrew Saeta'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
August 25, 2016 - Present
FORGE SECURITIES LLC
Office #1: 4 Embarcadero Center Suite 1500, San Francisco, CA 94111Office #2: 4 Embarcadero Center Suite 1500, San Francisco, CA 94111BD
CRD#: 134596
San Francisco, CA
Past
December 16, 2013 - December 17, 2014
PARNASSUS FUNDS DISTRIBUTOR, LLC
BD
CRD#: 15883
PORTLAND, ME
Past
October 4, 2013 - December 17, 2014
PARNASSUS INVESTMENTS
RIA
CRD#: 149193
SAN FRANCISCO, CA
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
Alabama(8/29/2018)
RR
Alaska(5/8/2019)
RR
Arizona(7/2/2019)
RR
Arkansas(3/28/2022)
RR
California(8/25/2016)
RR
Colorado(8/19/2020)
RR
Connecticut(9/3/2020)
RR
Delaware(7/6/2018)
RR
District of Columbia(10/15/2021)
RR
Florida(1/27/2017)
RR
Georgia(1/30/2017)
RR
Idaho(3/8/2018)
RR
Illinois(11/15/2018)
RR
Indiana(10/8/2021)
RR
Iowa(9/6/2021)
RR
Kansas(10/8/2021)
RR
Kentucky(10/11/2021)
RR
Louisiana(2/12/2021)
RR
Maine(11/26/2018)
RR
Maryland(10/12/2021)
RR
Massachusetts(12/13/2017)
RR
Michigan(1/6/2017)
RR
Minnesota(10/8/2021)
RR
Mississippi(10/11/2021)
RR
Missouri(10/12/2021)
RR
Montana(10/8/2021)
RR
Nebraska(5/2/2017)
RR
Nevada(5/17/2017)
RR
New Hampshire(10/19/2021)
RR
New Jersey(8/10/2017)
RR
New Mexico(10/8/2021)
RR
New York(12/13/2016)
RR
North Carolina(4/6/2021)
RR
North Dakota(10/11/2021)
RR
Ohio(12/3/2019)
RR
Oklahoma(10/11/2021)
RR
Oregon(6/14/2017)
RR
Pennsylvania(12/13/2016)
RR
Puerto Rico(10/14/2021)
RR
Rhode Island(10/18/2021)
RR
South Carolina(8/12/2020)
RR
South Dakota(10/14/2021)
RR
Tennessee(10/8/2021)
RR
Texas(4/10/2017)
RR
Utah(1/5/2017)
RR
Vermont(10/8/2021)
RR
Virgin Islands(10/12/2021)
RR
Virginia(2/28/2017)
RR
Washington(11/15/2018)
RR
West Virginia(10/21/2021)
RR
Wisconsin(10/8/2021)
RR
Wyoming(6/7/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FS
FORGE SECURITIES LLC
FORGE SECURITIES LLC | SHARESPOST FINANCIAL CORPORATION | PERLINSKI & ASSOCIATES
CRD#: 134596 / SEC#: , 8-66846
BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information
Main Address
4 Embarcadero Center Suite 1500, San Francisco, CA 94111
Mailing Address
4 Embarcadero Center Suite 1500, San Francisco, CA 94111
Phone number
(800) 279-7754
Established
Delaware since 06/03/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
