Christy Fabian has been Chief Compliance Officer of Sage Private Wealth Group since October 2025, is not listed as a control person, but directly owns under 5% of the firm.
Sage Private Wealth Group, LLC is an Oakbrook Terrace, IL firm with $441M under management, 482 clients and 3 advisers across 3 offices, as of its September 2026 filing.
Christy Fabian’s longest registration was 5 years at Wells Fargo Clearing Services, LLC (2014–2019).
- Fidelis Capital– · 2 yearsTampa, FL · Adviser representative · Firm CRD 322287
- Rockefeller Capital Management– · 1 yearSaratoga Springs, NY · Adviser representative · Firm CRD 291361
- Esi Financial Advisors– · under a yearMontpelier, VT · Adviser representative · Firm CRD 265
- Wells Fargo Clearing Services, LLC– · 5 yearsBurlington, VT · Adviser representative · Firm CRD 19616
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 6 February 2018 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 20 December 2017 |
| Series 66 | Uniform Combined State Law Examination | 28 March 2015 |
| Series 63 | Uniform Securities Agent State Law Examination | 27 September 2011 |
| Series 7 | General Securities Representative Examination | 22 August 2011 |
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- Uniform Combined State Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Christy Jean Fabian
- CRD
- 5872007
- Firm
- Sage Private Wealth Group · CRD 173399
- Role
- Chief Compliance Officer
- Registration
- No current adviser or broker registration
- Disciplinary history
- Not yet shown here · SEC record
Where does Christy Fabian work?
Christy Fabian has been Chief Compliance Officer of Sage Private Wealth Group, LLC since October 2025.
Does Christy Fabian have a current investment-adviser registration?
Christy Fabian has no current investment-adviser or broker registration.
What exams has Christy Fabian passed?
Christy Fabian has passed 6 licensing exams: the Series 7, Series 63, Series 66, Series 9, Series 10 and Series 99TO. The earliest, the Series 7, was passed in August 2011. FINRA credited Christy Fabian with the SIE, which began in October 2018.
Where was Christy Fabian previously registered as an investment adviser?
Christy Fabian has past investment-adviser registrations through Fidelis Capital, September 2022 to May 2025; Rockefeller Capital Management, September 2020 to October 2021; Esi Financial Advisors, February 2020 to September 2020; Wells Fargo Clearing Services, LLC, October 2014 to December 2019, across 4 firms.
Is Christy Fabian registered with FINRA?
No. Christy Fabian has no current broker registration.
How can I verify Christy Fabian’s record?
Search CRD 5872007 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Christy Fabian’s full registration record.
