Willard B. Saperston

SAPERSTON LEGACY ADVISORS

Sarasota, FL 34239

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CRD#: 838581

Professional summary

Willard Basch Saperston, AIF®, who also goes by Willard B Saperston, is a registered financial advisor currently at SAPERSTON LEGACY ADVISORS, INC. located in Sarasota, Florida.

Willard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1977. Willard has worked at 11 firms and has passed the Series 65, Series 63, SIE, PC, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Willard B Saperston

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) - RIA

Click below to view Willard Basch Saperston's CRS (Customer Relationship Summary).

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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

August 13, 2021 - Present

SAPERSTON LEGACY ADVISORS, INC.

Office #1: 1966 Hillview St., Sarasota, FL 34239

RIA

CRD#: 105849

Sarasota, FL

Past

November 1, 2018 - December 31, 2025

BRIGHTON SECURITIES CORP.

RIA

CRD#: 3875

Sarasota, FL

Past

October 4, 2018 - December 31, 2025

BRIGHTON SECURITIES CORP.

CRD#: 3875

Sarasota, FL

Past

October 8, 2013 - November 14, 2018

SAPERSTON ASSET MANAGEMENT, INC.

RIA

CRD#: 44379

HAMBURG, NY

Past

January 28, 1998 - November 14, 2018

SAPERSTON ASSET MANAGEMENT, INC.

CRD#: 44379

HAMBURG, NY

Past

October 16, 1997 - May 5, 1998

LASALLE ST SECURITIES, L.L.C.

CRD#: 7191

ELMHURST, IL

Past

January 3, 1994 - November 21, 2018

SAPERSTON LEGACY ADVISORS, INC.

RIA

CRD#: 105849

HAMBURG, NY

Past

January 8, 1991 - October 16, 1997

SAPERSTON FINANCIAL INC.

CRD#: 27863

BUFFALO, NY

Past

August 6, 1990 - October 23, 1991

AMERICAN CAPITAL CORPORATION

CRD#: 16124

VALLEY FORGE, PA

Past

October 20, 1989 - June 20, 1991

FIRST MONTAUK SECURITIES CORP.

CRD#: 13755

RED BANK, NJ

Past

September 30, 1985 - November 6, 1989

ADVEST, INC.

CRD#: 10

HARTFORD, CT

Past

April 20, 1985 - September 30, 1985

BURGESS & LEITH INCORPORATED

CRD#: 114

Past

November 3, 1981 - April 25, 1985

MORGAN STANLEY DW INC.

CRD#: 7556

Past

April 13, 1979 - October 3, 1981

L. F. ROTHSCHILD & CO. INCORPORATED

CRD#: 501

Past

June 1, 1977 - April 26, 1979

ADVEST, INC.

CRD#: 10

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SAPERSTON LEGACY ADVISORS, INC.

SAPERSTON LEGACY ADVISORS, INC. | WILLARD B SAPERSTON, INC.

CRD#: 105849 / SEC#: 801-121038

RIA

Registered Investment Advisory firm - (5/4/2021 Approved)

New York

Registered Investment Advisory firm - (6/8/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(9/9/2021)

IAR

New York
(8/13/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/11/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/10/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

PC

Date: 6/1/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 7

Date: 5/21/1977

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/30/1989

General Securities Principal Examination

Current Firm

SAPERSTON LEGACY ADVISORS, INC.

SAPERSTON LEGACY ADVISORS, INC. | WILLARD B SAPERSTON, INC.

CRD#: 105849 / SEC#: 801-121038

RIA

Registered Investment Advisory firm - (5/4/2021 Approved)

New York

Registered Investment Advisory firm - (6/8/2021 Terminated)

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Contact information

Main Address

172 Lake Street, Hamburg, NY 14075

Mailing Address

Phone number

(716) 649-9800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SAPERSTON LEGACY ADVISORS, INC. FIRM BROCHURE (3/25/2025)

Regulatory assets under management

Total Number of Accounts	121
AUM (Assets Under Management)	$ 56,919,495

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/27/2025	Cover Page	Report
07/26/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Willard B. Saperston

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Willard Basch Saperston's CRS (Customer Relationship Summary).

Certified licenses

Experience

BRIGHTON SECURITIES CORP.

BRIGHTON SECURITIES CORP.

SAPERSTON ASSET MANAGEMENT, INC.

SAPERSTON ASSET MANAGEMENT, INC.

LASALLE ST SECURITIES, L.L.C.

SAPERSTON LEGACY ADVISORS, INC.

SAPERSTON FINANCIAL INC.

AMERICAN CAPITAL CORPORATION

FIRST MONTAUK SECURITIES CORP.

ADVEST, INC.

BURGESS & LEITH INCORPORATED

MORGAN STANLEY DW INC.

L. F. ROTHSCHILD & CO. INCORPORATED

ADVEST, INC.

Primary Firm SEC Registration

SAPERSTON LEGACY ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/11/2000

Series 63

Date: 12/10/1981

SIE

Date: 10/1/2018

PC

Date: 6/1/1977

Series 7

Date: 5/21/1977

Series 24

Date: 5/30/1989

Current Firm

SAPERSTON LEGACY ADVISORS, INC.

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SAPERSTON LEGACY ADVISORS, INC.

TRUST BUT VERIFY

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