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CS

Christopher C. Saint-sante

Some features on this profile are disabled
CRD#: 6665761
CS

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 C Saint-sante, who also goes by Chris Saint-sante, Christoph C Saint-sante, Christopher Saint-sante, was a registered financial professional .

Christopher is a previously registered financial professional and started their career in finance in 2017. Christopher had worked at 4 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Chris Saint-Sante | Christoph C Saint-Sante | Christopher Saint-Sante

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 17, 2025 - November 11, 2025

DV EQUITIES

BD
CRD#: 312688
CHICAGO, IL
Past

June 28, 2022 - January 22, 2024

SUSQUEHANNA FINANCIAL GROUP, LLLP

BD
CRD#: 35865
BALA CYNWYD, PA
Past

June 25, 2021 - June 8, 2022

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

August 4, 2017 - June 4, 2021

SG AMERICAS SECURITIES, LLC

BD
CRD#: 128351
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/9/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 9/1/2017
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 8/4/2017
General Securities Representative Examination

Current Firm

DE
DV EQUITIES
DV EQUITIES | DV SECURITIES II, LLC | DV EQUITIES, LLC

CRD#: 312688 / SEC#: , 8-70659

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

Main Address
425 S. Financial Place Suite 2800, Chicago, IL 60605
Mailing Address
425 S. Financial Place Suite 2800, Chicago, IL 60605
Phone number
(312) 837-0649
Established
Delaware since 12/09/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
DV GROUP, LLCMEMBER
CARLINO, ERIC JAMESDIRECTOR OF FIXED INCOME/TRADING PRINCIPAL2898311
HORGAN, RICHARD JOHNCHIEF FINANCIAL OFFICER6697860
KATZ, SHIFRACHIEF COMPLIANCE OFFICER7166902

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

DV EQUITIES

CRD#: 312688

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