SAUBERAN & COMPANY, LLC of LOCKPORT, NY is an SEC-registered investment adviser (CRD 106317). Regulatory assets under management: $5.8M.
Compensation: % of AUM.
Clients served: High net worth.
| Name | Role | Location |
|---|---|---|
| Charles Keith Sauberan | PRESIDENT/CHIEF COMPLIANCE OFFICER | — |
| SAUBERAN CHARLES KEITH | PRESIDENT; PRESIDENT/CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-06-25 | regulatory | IN 2021 SAUBERAN & COMPANY WAS FINED $10,000 FOR "FAILURE TO AMEND FORM ADV TO INCLUDE A FORM CRS - RULE 204-1(E), FAILURE TO DELIVER FORM CRS TO RETAIL INVESTORS - RULE 204-5(E) AND FAILURE TO HAVE POLICIES - RULE 206(4)-7(A)." | Final | $10K |