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Thomas Sapio

Natwest Markets Securities Inc.

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About Thomas Sapio

Thomas Sapio is a financial advisor with Natwest Markets Securities Inc. Based in Darien, Connecticut, Thomas has been in the financial industry since 1994. Thomas holds a variety of licenses and registrations, including Series 7, 24, 52, 53, 63, and 99. Thomas has worked with a number of firms over the years, including Cantor Fitzgerald, Daiwa Securities America, Smith Barney, Aubrey G. Lanston & Co., and CF Secured, LLC.

Firm Information

Thomas Sapio is currently registered with Natwest Markets Securities Inc.. Natwest Markets Securities Inc. is a corporation formed on November 7, 1985, and is currently approved. It is registered with the SEC and in all 50 states.

Not reported

Assets Under Management

Not reported

Total Clients

113

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Thomas Sapio’s Registration & Firm History

CT

04/05/2023 - Present

Natwest Markets Securities Inc. (DARIEN CT)

NY

08/20/2020 - 02/16/2023

CF SECURED, LLC (New York NY)

NY

04/21/2004 - 02/16/2023

CANTOR FITZGERALD & CO. (NEW YORK NY)

NY

04/21/2004 - 10/13/2006

CANTOR FITZGERALD SECURITIES (NEW YORK NY)

NY

04/05/2000 - 04/26/2004

DAIWA SECURITIES AMERICA INC. (NEW YORK NY)

NY

02/12/1998 - 03/07/2000

AUBREY G. LANSTON & CO., INC. (NEW YORK NY)

NY

04/03/1996 - 12/19/1997

SMITH BARNEY INC. (NEW YORK NY)

NY

09/30/1991 - 01/24/1994

CANTOR FITZGERALD SECURITIES (NEW YORK NY)

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Licenses & Designations

BC

Issued 10/31/1991

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/10/2016

Series 53 - Municipal Securities Principal Examination

BC

Issued 12/05/2001

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/22/1993

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Thomas Sapio.
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