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Charles Keith Sauberan

SAUBERAN & COMPANY, LLC·LOCKPORT, New York
Series 6, Series 7, Series 22, Series 24, Series 63Clean record2 years registeredSAUBERAN & COMPANY, LLC
175 WALNUT ST SUITE#2, LOCKPORT, NY 14094CRD# 1675594Firm CRD# 106317

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Charles Keith Sauberan · LOCKPORT, NY
Registration
CRD #1675594 · SAUBERAN & COMPANY, LLC · 2 years registered
Brand Profile
Not yet started
01

Career History

SAUBERAN & COMPANY, LLC
Mar 2025 – present
COMMONWEALTH FINANCIAL NETWORK
Aug 2024 – Feb 2025
Orchard Park, NY
02

Registrations & Exams

FINRA examinations passed
Series 6
Series 7
Series 22
Series 24
Series 63
Registration record
First registered · August 2, 2024
Years registered · 2
03

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

04

Firm Overview

Firm
SAUBERAN & COMPANY, LLC
CRD 106317 · SEC 801-38553
AUM
$26M
Regulatory assets under management
Employees
1
122 client accounts
Services offered by SAUBERAN & COMPANY, LLC
Per Form ADV
Financial planning
Portfolio management (individuals)
Client types served by the firm
Per Form ADV
Individuals
High Net Worth Individuals
View all advisors at SAUBERAN & COMPANY, LLC →
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05

Frequently Asked Questions

What services does Charles Keith Sauberan offer?
Charles Keith Sauberan specializes in Financial Planning, Investment Management. Contact their office in LOCKPORT, New York for a consultation.
What are Charles Keith Sauberan's credentials?
Charles Keith Sauberan is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is Charles Keith Sauberan located?
Charles Keith Sauberan is based in LOCKPORT, New York, working with SAUBERAN & COMPANY, LLC. Their office serves clients in the LOCKPORT metropolitan area and surrounding communities.
How does Charles Keith Sauberan charge for services?
Charles Keith Sauberan's firm is compensated through percentage of aum, hourly charges. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is SAUBERAN & COMPANY, LLC?
SAUBERAN & COMPANY, LLC has approximately 1 employees and manages $26M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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