CS
Catherine E. Sabo
RENAISSANCE INSTITUTIONAL MANAGEMENT LLC
New York, NY 10022
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CRD#: 6704164
CS
Professional summary
Catherine Eileen Sabo is a registered financial professional currently at RENAISSANCE INSTITUTIONAL MANAGEMENT LLC located in New York, New York.
Catherine is registered as a RR (Registered Representative) and started their career in finance in 2016. Catherine has worked at 1 firm and has passed the Series 63, SIE and Series 7 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.
CRS (Client Relationship Summary) - BD
Click below to view Catherine Eileen Sabo'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
September 21, 2016 - Present
RENAISSANCE INSTITUTIONAL MANAGEMENT LLC
Office #1: 800 Third Avenue, New York, NY 10022BD
CRD#: 136113
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
Alabama(5/24/2018)
RR
Alaska(4/17/2018)
RR
Arizona(4/13/2018)
RR
Arkansas(4/23/2018)
RR
California(4/13/2018)
RR
Colorado(4/13/2018)
RR
Connecticut(10/30/2018)
RR
Delaware(4/13/2018)
RR
District of Columbia(4/18/2018)
RR
Florida(4/13/2018)
RR
Georgia(5/3/2018)
RR
Hawaii(4/27/2018)
RR
Idaho(4/13/2018)
RR
Illinois(5/16/2018)
RR
Indiana(5/30/2018)
RR
Iowa(4/13/2018)
RR
Kansas(5/15/2018)
RR
Kentucky(4/13/2018)
RR
Louisiana(4/13/2018)
RR
Maine(7/27/2018)
RR
Maryland(4/13/2018)
RR
Massachusetts(5/31/2018)
RR
Michigan(4/13/2018)
RR
Minnesota(4/30/2018)
RR
Mississippi(4/13/2018)
RR
Missouri(4/23/2018)
RR
Montana(5/7/2018)
RR
Nebraska(4/13/2018)
RR
Nevada(4/13/2018)
RR
New Hampshire(7/31/2018)
RR
New Jersey(6/27/2018)
RR
New Mexico(5/2/2018)
RR
New York(4/6/2018)
RR
North Carolina(4/16/2018)
RR
North Dakota(4/13/2018)
RR
Ohio(4/13/2018)
RR
Oklahoma(4/13/2018)
RR
Oregon(6/1/2018)
RR
Pennsylvania(4/13/2018)
RR
Puerto Rico(5/2/2018)
RR
Rhode Island(4/13/2018)
RR
South Carolina(4/13/2018)
RR
South Dakota(4/13/2018)
RR
Tennessee(4/13/2018)
RR
Texas(6/18/2018)
RR
Utah(4/13/2018)
RR
Vermont(4/24/2018)
RR
Virgin Islands(4/24/2018)
RR
Virginia(5/15/2018)
RR
Washington(4/13/2018)
RR
West Virginia(4/13/2018)
RR
Wisconsin(4/13/2018)
RR
Wyoming(4/26/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
RI
RENAISSANCE INSTITUTIONAL MANAGEMENT LLC
RENAISSANCE INSTITUTIONAL MANAGEMENT LLC
CRD#: 136113 / SEC#: , 8-66971
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
800 Third Avenue, New York, NY 10022
Mailing Address
800 Third Avenue, New York, NY 10022
Phone number
(212) 821-1502
Established
Delaware since 03/18/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
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.
