Christopher L Sassone

Current Employers

Employment History

• 07/2009 → 10/2019
  1St Global Capital Corp.
  Rochester, NY
• 06/2009 → Present
  Davie Kaplan Wealth Care Advisors, Llc
  Rochester, NY
• 07/2009 → 10/2019
  1St Global Advisors, Inc.
  Rochester, NY
• 07/2009 → 09/2025
  Avantax Insurance Services, Inc.
  Rochester, NY
• 10/2019 → 09/2025
  Avantax Investment Services, Inc.
  Rochester, NY
• 10/2023 → 09/2025
  Avantax Advisory Services
  Rochester, NY
• 09/2025 → Present
  Cetera Wealth Services, Llc
  Rochester, NY
• 09/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2023-10-24 → 2025-09-05
  Avantax Advisory Services
  Dallas, TX
  Rochester, NY
  Rochester, NY
  N. Chili, NY

Other Businesses

1) DAVIE KAPLAN WEALTH CARE ADVISORS, LLC (FORMERLY DKCB WEALTH CARE ADVISORS) POSITION: FINANCIAL ADVISOR, RIA NATURE: FINANCIAL SERVICES INVESTMENT RELATED: Yes NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 50 START DATE: 06/01/2009 ADDRESS: Rochester NY 14614 DESCRIPTION: We provide financial services to our clients 2) BRONSKY WEALTH MANAGEMENT POSITION: Financial Advisor NATURE: FINANCIAL SERVICES, INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 05/01/2017 ADDRESS: 6225 Sheridan Dr., Suite 222, Williamsville NY 14221 DESCRIPTION: SUPPORT LICENSED ADVISORS OF BRONSKY WEALTH MANAGEMENT; 3) DAVIE KAPLAN WEALTH CARE ADVISORS, LLC (INSURANCE) POSITION: AGENT NATURE: INSURANCE INVESTMENT RELATED: Yes NUMBER OF HOURS: null SECURITIES TRADING HOURS: null START DATE: 06/01/2009 ADDRESS: Rochester NY 14614 DESCRIPTION: INSURANCE AGENT - CONDUCTS INSURANCE SALES/REFERRALS 4) DAVIE KAPLAN WEALTH CARE ADVISORS, LLC (RIA) POSITION: INVESTMENT ADVISER REPRESENTATIVE, NATURE: Financial Planning INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: ADDRESS: 1000 First Federal Plaza, Rochester NY 14614 DESCRIPTION: ADVISOR-FINANCIAL PLANNING 5) SMALL BUSINESS COUNCIL OF ROCHESTER POSITION: Committee Member NATURE: I am a member of the Cares Committee which does a number of community service charitable events around Rochester INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 12/01/2022 ADDRESS: 150 State St, Suite 400, Rochester NY 14614 DESCRIPTION: General committee member. Help with Thanksgiving Basket Appeal, Winter Hat and Glove Drive and School Supply Backpack Drive 6) SMALL BUSINESS COUNCIL OF ROCHESTER POSITION: Board Member NATURE: I have joined the board of the Small Business Council of Rochester as a Board member. This is primarily a networking and charitable fund raising organization INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 01/01/2023 ADDRESS: 150 State St,, Suite 400, Rochester NY 14614 DESCRIPTION: ambassador for the Small Business Council throughout the Rochester community Attend 75 percent of scheduled board meetings 7) PREMIER COMMUNITY RELATIONS; Board Member; A non-profit organization in NY dedicated to making a positive impact in our community. We specialize in raising funds and awareness for various charitable movements; NIR; HRS 2; HRS 0; 12/04/2023; 109 Jckrist Cir., Rochester NY 14606; Participate in monthly virtual meeting as a board member to weigh in on organization of annual charitable events and other business matters pertaining to the organization 8) SMALL BUSINESS COUNCIL OF ROCHESTER POSITION: Treasurer NATURE: I will be responsible for tracking and reporting activities and transactions that are made on behalf of the Small Business Council and providing a monthly report to the board on a monthly basis as to where we stand, as treasurer of the board. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 12/15/2023 ADDRESS: 250 S. Clinton Ave, C/O Greater Rochester Chamber of Commerce, Rochester NY 14604 DESCRIPTION: I will track the finances for the organization, but this role will not have check writing privileges. And will be administrative in nature only.

Exams

• S65 Uniform Investment Adviser Law Examination
  2001-07-25
• S63 Uniform Securities Agent State Law Examination
  2001-06-28

Designations

Other Names

• Christopher Louis Sassone