Christopher M. Sauter
Professional summary
Christopher Michael Sauter is a registered financial professional currently at NABSECURITIES, LLC located in New York, New York.
Christopher is registered as a RR (Registered Representative) and started their career in finance in 2018. Christopher has worked at 1 firm and has passed the SIE and Series 99 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Christopher Michael Sauter's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 18, 2018 - Present
NABSECURITIES, LLC
Office #1: 277 Park Avenue 19th Floor, New York, NY, 10172Office #2: 277 Park Avenue 19th Floor, New York, NY 10172State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
FINRA
Current Firm
NABSECURITIES, LLC
CRD#: 47390 / SEC#: , 8-51785
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL AUSTRALIA BANK LIMITED | OWNER | |
| ALLAN-SMITH, JOHN NEVILLE | DIRECTOR / CHAIRMAN OF THE BOARD | 8027334 |
| KIRSCHENBLAT, CHAD ETHAN | FINOP & PFO | 2503352 |
| LESTER, MEREDITH | DIRECTOR | 7426691 |
| LYUBOMIRSKAYA, SVETLANA | DIRECTOR | 2793040 |
| MASCARENHAS, CARLA JANE | DIRECTOR | 6313662 |
| SCHILLING, MICHAEL JAMES | CHIEF COMPLIANCE OFFICER | 2609624 |
| TAIANO, RICHARD LOUIS | PRESIDENT / CEO / DIRECTOR | 3037875 |
Red Flags
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